CC
Colby K. Clark
ASPIRE PRIVATE CAPITAL
Cornelius, NC 28031
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CRD#: 5811177
CC
Professional summary
Colby Keston Clark is a registered financial advisor currently at ASPIRE PRIVATE CAPITAL located in Cornelius, North Carolina.
Colby is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Colby has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. C SQUARED CAPITAL LLC - INV REL - (NO BUSINESS CONDUCTED THROUGH HERE, ENTITY RECEIVES REVENUE FOR ADVISORY AND INSURANCE SALES) - 632 BIG INDIAN LOOP, MOORESVILLE, NC 28117 - START 1/8/2018 - 10 HOURS PER MONTH, 10 HOURS DURING TRADING 2. VARIOUS INSURANCE COMPANIES - INDEPENDENT INSURANCE SALES AGENT - INVESTMENT-RELATED - INSURANCE AND ANNUITY PRODUCT SALES - START DATE 12/5/2019 - 2 HOURS/MONTH - 2 HOURS/MO DURING TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Colby Keston Clark's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 11, 2019 - Present
ASPIRE PRIVATE CAPITAL
Office #1: 19410 Jetton Road Suite 110, Cornelius, NC 28031RIA
CRD#: 154116
Cornelius, NC
Past
March 15, 2018 - December 2, 2019
CWM, LLC
RIA
CRD#: 155344
Mooresville, NC
Past
October 18, 2017 - March 19, 2018
IFG ADVISORY, LLC
RIA
CRD#: 168012
Mooreswille, NC
Past
August 10, 2015 - March 16, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
MOORESVILLE, NC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AP
ASPIRE PRIVATE CAPITAL
ASPIRE PRIVATE CAPITAL | ASPIRE PRIVATE CAPITAL, LLC
CRD#: 154116 / SEC#: 801-113754
RIA
Registered Investment Advisory firm - (8/1/2018 Approved)Florida
Registered Investment Advisory firm - (8/15/2018 Terminated)Georgia
Registered Investment Advisory firm - (10/5/2018 Terminated)North Carolina
Registered Investment Advisory firm - (8/17/2018 Terminated)South Carolina
Registered Investment Advisory firm - (8/15/2018 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
North Carolina(12/11/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AP
ASPIRE PRIVATE CAPITAL
ASPIRE PRIVATE CAPITAL | ASPIRE PRIVATE CAPITAL, LLC
CRD#: 154116 / SEC#: 801-113754
RIA
Registered Investment Advisory firm - (8/1/2018 Approved)Florida
Registered Investment Advisory firm - (8/15/2018 Terminated)Georgia
Registered Investment Advisory firm - (10/5/2018 Terminated)North Carolina
Registered Investment Advisory firm - (8/17/2018 Terminated)South Carolina
Registered Investment Advisory firm - (8/15/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
19410 Jetton Road Suite 110, Cornelius, NC 28031
Mailing Address
Phone number
(704) 237-9927
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,701 |
| AUM (Assets Under Management) | $ 455,692,609 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
