Judd Clark
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.
Judd Clark, who also goes by Judd R Clark, Judd Rezin Clark, Judd Clark, was a registered financial professional .
Judd is a previously registered financial professional and started their career in finance in 2007. Judd had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2018 - August 28, 2018
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
April 9, 2018 - August 28, 2018
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
September 4, 2014 - March 5, 2018
PRUCO SECURITIES, LLC.
March 19, 2014 - March 5, 2018
PRUCO SECURITIES, LLC.
December 4, 2012 - March 11, 2014
PNC WEALTH MANAGEMENT LLC
December 3, 2012 - March 11, 2014
PNC WEALTH MANAGEMENT LLC
March 16, 2012 - November 5, 2012
INDEPENDENT FINANCIAL PARTNERS
March 15, 2012 - October 22, 2012
LPL FINANCIAL LLC
September 12, 2008 - March 14, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 11, 2008 - March 14, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 9, 2007 - September 8, 2008
UBS FINANCIAL SERVICES INC.
September 13, 2007 - September 8, 2008
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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
Current Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
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.
