Robert A. Clarke
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Anthony Clarke, who also goes by Robert A Clarke, Robert Alan Clarke, Robert Allan Clarke, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1977. Robert had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2006 - January 17, 2007
ZACKS INVESTMENT MANAGEMENT, INC.
September 7, 2006 - January 17, 2007
LBMZ SECURITIES, INC.
February 24, 2006 - August 17, 2006
COSTA FINANCIAL SECURITIES, INC.
June 11, 2003 - December 31, 2004
SOURCE CAPITAL GROUP, INC.
April 25, 2002 - May 6, 2003
AURA FINANCIAL SERVICES, INC.
June 30, 1995 - January 4, 2002
PRUDENTIAL EQUITY GROUP, LLC
May 5, 1988 - November 2, 1989
MORGAN STANLEY DW INC.
January 22, 1982 - January 12, 1987
CIBC WORLD MARKETS CORP.
January 7, 1982 - February 1, 1982
JII SECURITIES INC.
August 6, 1981 - December 10, 1981
CIBC WORLD MARKETS CORP.
February 24, 1978 - August 4, 1981
MORGAN STANLEY DW INC.
July 29, 1977 - February 24, 1978
REYNOLDS SECURITIES, INC.
Primary Firm SEC Registration
ZACKS INVESTMENT MANAGEMENT, INC.
CRD#: 110897 / SEC#: 801-40592
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/15/1981
Interest Rate Options ExaminationCurrent Firm
ZACKS INVESTMENT MANAGEMENT, INC.
CRD#: 110897 / SEC#: 801-40592
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,050 |
| AUM (Assets Under Management) | $ 12,414,372,511 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
