Robert T. Clark
Professional summary
Robert Todd Clark was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1975. Prior to being barred, Robert had worked at 16 firms, which includes MOORS & CABOT INC., MORGAN STANLEY, MORGAN STANLEY & CO. LLC, MORGAN STANLEY DW INC., FINANCIAL SQUARE PARTNERS, PERSHING LLC, S.G. WARBURG & CO. INC., CREDIT SUISSE SECURITIES (USA) LLC, J.P. MORGAN SECURITIES LLC, WILLIAM BLAIR, E. F. HUTTON & COMPANY INC, DREXEL BURNHAM LAMBERT INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, BACHE HALSEY STUART INC., BACHE & CO INCORPORATED, BACHE & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2013 - July 19, 2018
MOORS & CABOT, INC.
May 15, 2013 - July 19, 2018
MOORS & CABOT, INC.
June 1, 2009 - June 12, 2013
MORGAN STANLEY
June 1, 2009 - June 12, 2013
MORGAN STANLEY
July 12, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
September 24, 1997 - April 2, 2007
MORGAN STANLEY DW INC.
October 23, 1995 - September 16, 1997
FINANCIAL SQUARE PARTNERS
December 16, 1994 - October 4, 1995
PERSHING LLC
December 21, 1993 - December 15, 1994
S.G. WARBURG & CO. INC.
August 6, 1991 - December 22, 1993
CREDIT SUISSE SECURITIES (USA) LLC
November 8, 1989 - July 31, 1991
MORGAN STANLEY & CO. LLC
March 3, 1987 - November 14, 1989
J.P. MORGAN SECURITIES LLC
February 4, 1985 - March 10, 1987
WILLIAM BLAIR
February 21, 1979 - February 7, 1985
E. F. HUTTON & COMPANY INC
April 18, 1978 - February 15, 1979
DREXEL BURNHAM LAMBERT INCORPORATED
September 16, 1977 - May 13, 1978
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
July 25, 1975 - February 27, 1976
BACHE & CO., INCORPORATED
Primary Firm SEC Registration
MOORS & CABOT, INC.
CRD#: 594 / SEC#: 801-48726, 8-23060
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 8
Date: 5/13/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MOORS & CABOT, INC.
CRD#: 594 / SEC#: 801-48726, 8-23060
Contact information
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 4 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
