KC
Katherine E. Clark
DIMENSIONAL FUND ADVISORS LP
Austin, TX 78746
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CRD#: 7545345
KC
Professional summary
Katherine Emma Clark, who also goes by Emma Clark, Kate Clark, Katherine E Clark, Katherine Clark, is a registered financial advisor currently at DIMENSIONAL FUND ADVISORS LP located in Austin, Texas and DFA SECURITIES LLC located in Charlotte, North Carolina.
Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Katherine has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Emma Clark | Kate Clark | Katherine E Clark | Katherine Clark
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.
CRS (Client Relationship Summary) - RIA
Click below to view Katherine Emma 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
October 3, 2025 - Present
DIMENSIONAL FUND ADVISORS LP
Office #1: 6300 Bee Cave Road Building One, Austin, TX 78746RIA
CRD#: 106482
Austin, TX
Current
October 3, 2025 - Present
DFA SECURITIES LLC
Office #1: 1515 South Tryon Street, Charlotte, NC 28203BD
CRD#: 10292
Charlotte, NC
Past
July 5, 2024 - September 29, 2025
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CHARLOTTE, NC
Past
April 29, 2024 - September 29, 2025
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CHARLOTTE, NC
Past
August 14, 2023 - March 11, 2024
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
CHARLOTTE, 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".
DF
DIMENSIONAL FUND ADVISORS LP
DIMENSIONAL FUND ADVISORS INC | DIMENSIONAL FUND ADVISORS LP | DIMENSIONAL FUND ADVISORS INC.
CRD#: 106482 / SEC#: 801-16283
RIA
Registered Investment Advisory firm - (8/26/1981 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/3/2025)
RR
Alaska(10/3/2025)
RR
Arizona(10/3/2025)
RR
Arkansas(10/3/2025)
RR
California(10/3/2025)
RR
Colorado(10/3/2025)
RR
Connecticut(10/3/2025)
RR
Delaware(10/3/2025)
RR
District of Columbia(10/3/2025)
RR
Florida(10/3/2025)
RR
Georgia(10/3/2025)
RR
Idaho(10/3/2025)
RR
Illinois(10/3/2025)
RR
Indiana(10/3/2025)
RR
Iowa(10/3/2025)
RR
Kansas(10/3/2025)
RR
Kentucky(10/3/2025)
RR
Louisiana(10/3/2025)
RR
Maine(10/3/2025)
RR
Maryland(10/3/2025)
RR
Massachusetts(10/3/2025)
RR
Michigan(10/3/2025)
RR
Minnesota(10/3/2025)
RR
Mississippi(10/3/2025)
RR
Missouri(10/3/2025)
RR
Montana(10/3/2025)
RR
Nebraska(10/3/2025)
RR
Nevada(10/3/2025)
RR
New Hampshire(10/3/2025)
RR
New Jersey(10/3/2025)
RR
New Mexico(10/3/2025)
RR
New York(10/3/2025)
RR
North Carolina(10/3/2025)
RR
North Dakota(10/3/2025)
RR
Ohio(10/3/2025)
RR
Oklahoma(10/3/2025)
RR
Oregon(10/3/2025)
RR
Pennsylvania(10/3/2025)
RR
Rhode Island(10/3/2025)
RR
South Carolina(10/3/2025)
RR
South Dakota(10/3/2025)
RR
Texas(10/3/2025)
IAR
Texas(10/3/2025)
RR
Utah(10/3/2025)
RR
Vermont(10/3/2025)
RR
Virginia(10/3/2025)
RR
Washington(10/3/2025)
RR
West Virginia(10/3/2025)
RR
Wisconsin(10/3/2025)
RR
Wyoming(10/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/17/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 8/14/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DF
DIMENSIONAL FUND ADVISORS LP
DIMENSIONAL FUND ADVISORS INC | DIMENSIONAL FUND ADVISORS LP | DIMENSIONAL FUND ADVISORS INC.
CRD#: 106482 / SEC#: 801-16283
RIA
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Contact information
Main Address
6300 Bee Cave Road Building One, Austin, TX 78746
Mailing Address
Phone number
(512) 306-7400
Established
Firm type
Fiscal year end
# of Employees
1,135
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,611 |
| AUM (Assets Under Management) | $ 835,713,261,770 |
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.
