Michael C. 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.
Michael Carl Clark was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1976. Michael had worked at 16 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2000 - September 11, 2000
WACHOVIA SECURITIES, INC.
November 2, 1999 - February 14, 2000
WACHOVIA BROKERAGE SERVICE
February 27, 1997 - August 31, 1999
ARAGON FINANCIAL SERVICES, INC.
February 22, 1995 - May 15, 1995
JOSEPH CHARLES & ASSOC., INC.
October 26, 1994 - March 10, 1995
ESSEX NATIONAL SECURITIES, LLC
July 27, 1994 - October 17, 1994
DETWILER FENTON WEALTH MANAGEMENT INC
May 20, 1994 - September 21, 1994
ESSEX NATIONAL SECURITIES, LLC
January 17, 1994 - April 21, 1994
INVEST FINANCIAL CORPORATION
June 14, 1991 - January 11, 1994
DETWILER FENTON WEALTH MANAGEMENT INC
September 4, 1990 - June 2, 1993
WELLS FARGO CLEARING SERVICES, LLC
January 2, 1990 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
February 21, 1989 - January 2, 1990
GULFSTREAM FINANCIAL ASSOCIATES, INC.
February 8, 1989 - February 21, 1989
J. W. GANT & ASSOCIATES, INC.
January 9, 1989 - January 31, 1989
KOBER FINANCIAL CORP.
February 2, 1988 - January 17, 1989
GRAYSTONE NASH, INC.
August 12, 1987 - February 10, 1988
PALM BEACH FINANCIAL, INC.
August 27, 1986 - August 12, 1987
VANDEMAN & FULTON SECURITIES, INC.
October 21, 1976 - December 21, 1985
FIRST JERSEY SECURITIES, INC.
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
Current Firm
WACHOVIA SECURITIES, INC.
CRD#: 431 / SEC#: , 8-2612
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
| Civil Event | 3 |
| Arbitration | 18 |
| Bond | 1 |
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.
