William J Clark
Professional Summary
William J Clark, who also goes by William James Clark, is a registered financial advisor currently at AMERX LLC located in New York, New York. William is registered as a RR (Registered Representative) and started their career in finance in 2020. William has worked at 2 firms and has passed the Series 79TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
William James Clark
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
6 years in the financial services industry
Current & Past Employments
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Current Firm
AMERICAS EXECUTIONS | SURKIS, BARRY NMN | SURKIS, BARRY | SURKIS INCORPORATED | LUCID CAPITAL MARKETS, LLC | LUCID CAPITAL MARKETS LLC. | LUCID CAPITAL MARKETS | AMERX LLC | AMERX | AMERICAS EXECUTIONS, LLC | AMERICAS EXECUTIONS, INC.
Contact Information
Main Address
New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005Mailing Address
C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038Phone Number
(212) 306-2700Established
New York since 06/15/2015Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (27 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Sep 2020About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view William J Clark's CRS (Customer Relationship Summary).
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