Thomas F. 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.
Thomas Francis Clark was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1981. Thomas had worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 62, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2016 - August 16, 2019
KESTRA ADVISORY SERVICES, LLC
September 8, 2006 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
September 8, 2006 - August 16, 2019
KESTRA INVESTMENT SERVICES, LLC
December 19, 2000 - October 6, 2006
OSAIC FA, INC.
October 18, 2000 - May 26, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 18, 2000 - October 6, 2006
OSAIC FA, INC.
April 29, 1981 - November 14, 1996
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
Series 62
Date: 7/7/1988
Corporate Securities Limited Representative ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
