Katherine B. 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.
Katherine Broughton Clark, CFP®, who also goes by Katherine Claire Broughton, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 2009. Katherine had worked at 6 firms and has passed the Series 65, Series 63, 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
January 19, 2018 - March 17, 2022
FIRST ASCENT ASSET MANAGEMENT, LLC
November 4, 2016 - April 3, 2017
OSAIC SERVICES, INC.
October 24, 2016 - April 3, 2017
OSAIC SERVICES, INC.
January 2, 2015 - November 15, 2016
PRICE WEALTH, LLC
October 8, 2013 - October 29, 2014
AFAM CAPITAL, INC.
February 22, 2013 - October 29, 2014
NORTHERN LIGHTS DISTRIBUTORS, LLC
May 10, 2011 - September 9, 2011
NYLIFE SECURITIES LLC
January 22, 2009 - September 18, 2009
NYLIFE SECURITIES LLC
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
FIRST ASCENT ASSET MANAGEMENT, LLC
CRD#: 281470 / SEC#: 801-113358
Contact information
Regulatory assets under management
| Total Number of Accounts | 4,897 |
| AUM (Assets Under Management) | $ 1,367,980,200 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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