Claud Burks
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.
Claud Burks was a registered financial professional .
Claud is a previously registered financial professional and started their career in finance in 1977. Claud had worked at 9 firms and has passed the Series 63 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
September 24, 2008 - December 31, 2011
RESOURCE HORIZONS GROUP LLC
July 20, 2004 - October 10, 2006
WOODBURY FINANCIAL SERVICES, INC.
March 15, 2002 - July 9, 2003
VOYA FINANCIAL PARTNERS, LLC
March 30, 2001 - July 11, 2001
WALNUT STREET SECURITIES, INC.
July 15, 1992 - December 31, 2000
LOCUST STREET SECURITIES, INC.
September 7, 1989 - September 3, 1991
THE ADVISORS GROUP, INC.
November 21, 1986 - August 28, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 21, 1986 - August 28, 1989
EQUITABLE ADVISORS, LLC
January 3, 1977 - November 7, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
RESOURCE HORIZONS GROUP LLC
CRD#: 104368 / SEC#: , 8-52830
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
