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RC

Ricardo C. Clarke

KLEON FINANCIAL
NEW YORK, NY 10038
Some features on this profile are disabled
CRD#: 6253240
RC

Professional summary

Ricardo Constantine Clarke is a registered financial professional currently at KLEON FINANCIAL, LLC located in New York, New York and CROWDVEST SECURITIES LLC located in Hutchinson Island, Florida.

Ricardo is registered as a RR (Registered Representative) and started their career in finance in 2016. Ricardo has worked at 4 firms and has passed the Series 99TO, SIE, Series 99 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ricardo Constantine Clarke's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 21, 2025 - Present

KLEON FINANCIAL, LLC

Office #1: 199 Water Street. 9th Fl, New York, NY, 10038
BD
CRD#: 121537
NEW YORK, NY
Current

January 21, 2026 - Present

CROWDVEST SECURITIES LLC

Office #1: 21 Sovereign Way, Hutchinson Island, FL 34949
BD
CRD#: 288827
Hutchinson Island, FL
Current

February 10, 2026 - Present

UPHORIZON, LLC

Office #1: 10250 Constellation Blvd Suite 2300, Los Angeles, CA 90067
BD
CRD#: 328256
LOS ANGELES, CA
Past

October 24, 2016 - November 2, 2021

WHITAKER SECURITIES LLC

BD
CRD#: 121465
MANALAPAN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 11/4/2022
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 10/24/2016
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 27
Date: 11/4/2022
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
New York Stock Exchange

Current Firm

UL
UPHORIZON, LLC
UPHORIZON, LLC

CRD#: 328256 / SEC#: , 8-71171

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
10250 Constellation Blvd Suite 2300, Los Angeles, CA 90067
Mailing Address
13636 Ventura Blvd #268, Sherman Oaks, CA 91423
Phone number
(213) 657-8888
Established
California since 08/18/2023
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
UPHORIZON GROUP, LLCDIRECT OWNER
ATTANASIO, ELIZABETH MARIEFINOP5325007
WANG, ZHENTAOCEO/CCO7740723

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.

Company Information

UPHORIZON, LLC

CRD#: 328256New York, NY 10038

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