Richard T. 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.
Richard Thomas Clark JR was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1978. Richard had worked at 5 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 17, 1992 - April 25, 1995
PATTERSON ICENOGLE, INC.
June 5, 1989 - August 17, 1992
S. C. COSTA COMPANY, INC.
December 2, 1986 - July 6, 1989
MORGAN STANLEY DW INC.
November 27, 1981 - December 18, 1986
ROTAN MOSLE INC.
January 27, 1978 - November 30, 1981
CITIGROUP GLOBAL MARKETS 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
PATTERSON ICENOGLE, INC.
CRD#: 15652 / SEC#: , 8-32474
Contact information
Documents
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.
