Douglas B. 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.
Douglas Bruce Clark was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1976. Douglas had worked at 13 firms and has passed the Series 65, Series 63, Series 3, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2013 - June 10, 2016
KINGSVIEW WEALTH MANAGEMENT, LLC
May 27, 2003 - December 31, 2010
FIRST AMERICAN CAPITAL AND TRADING CORPORATION
April 8, 2003 - December 1, 2010
CLARK ASSET MANAGEMENT, INC.
July 12, 2001 - May 27, 2003
STERLING FINANCIAL INVESTMENT GROUP, INC.
August 28, 1999 - June 22, 2001
ROUND HILL SECURITIES, INC.
July 12, 1988 - September 9, 1999
MORGAN STANLEY DW INC.
July 13, 1987 - May 11, 1988
LEHMAN BROTHERS INC.
February 18, 1986 - July 23, 1987
MIDWEST EQUITIES, INC.
July 23, 1982 - December 5, 1984
LEHMAN BROTHERS INC.
August 13, 1981 - July 26, 1982
PRUDENTIAL EQUITY GROUP, LLC
June 26, 1978 - July 14, 1981
E. F. HUTTON & COMPANY INC
January 18, 1978 - July 2, 1978
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
June 25, 1976 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
Primary Firm SEC Registration
KINGSVIEW WEALTH MANAGEMENT, LLC
CRD#: 148107 / SEC#: 801-79198
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
PC
Date: 7/31/1981
AMEX Put and Call ExamCurrent Firm
KINGSVIEW WEALTH MANAGEMENT, LLC
CRD#: 148107 / SEC#: 801-79198
Contact information
SEC notice filing (47 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 24,847 |
| AUM (Assets Under Management) | $ 6,745,495,357 |
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.
