Charles S. Clark

CLARK & STUART

PORTLAND, ME 04102

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CRD#: 861962

Professional summary

Charles Stone Clark, who also goes by Rocky Clark, is a registered financial advisor currently at CLARK & STUART INC located in Portland, Maine.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Charles has worked at 5 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rocky Clark

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Stone Clark's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 18, 2004 - Present

CLARK & STUART INC

Office #1: 1945 Congress Street, Building A, Portland, ME 04102

RIA

CRD#: 107991

PORTLAND, ME

Past

November 16, 1988 - November 20, 2003

BANGOR SECURITIES, INC.

CRD#: 4302

PORTLAND, ME

Past

July 29, 1986 - November 22, 1988

INVESTORS BROKERAGE SERVICES, INC.

CRD#: 4257

ELGIN, IL

Past

October 15, 1985 - November 21, 1988

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

February 1, 1979 - November 6, 1985

E. F. HUTTON & COMPANY INC

CRD#: 235

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CLARK & STUART INC

CRD#: 107991 / SEC#: 801-113250

RIA

Registered Investment Advisory firm - (5/14/2018 Approved)

Connecticut

Registered Investment Advisory firm - (5/24/2018 Terminated)

Florida

Registered Investment Advisory firm - (5/24/2018 Terminated)

Massachusetts

Registered Investment Advisory firm - (5/24/2018 Terminated)

New Hampshire

Registered Investment Advisory firm - (6/1/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/24/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(5/17/2012)

IAR

Florida
(9/6/2017)

IAR

Maine
(8/18/2004)

IAR

Massachusetts
(4/17/2012)

IAR

New Hampshire
(4/14/2005)

IAR

Texas
(2/16/2005)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/22/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/10/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/20/1979

General Securities Representative Examination

Current Firm

CLARK & STUART INC

CRD#: 107991 / SEC#: 801-113250

RIA

Registered Investment Advisory firm - (5/14/2018 Approved)

Connecticut

Registered Investment Advisory firm - (5/24/2018 Terminated)

Florida

Registered Investment Advisory firm - (5/24/2018 Terminated)

Massachusetts

Registered Investment Advisory firm - (5/24/2018 Terminated)

New Hampshire

Registered Investment Advisory firm - (6/1/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/24/2018 Terminated)

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Contact information

Main Address

1945 Congress Street Building A, Portland, ME 04102

Mailing Address

203 Willow Street, South Hamilton, MA 01982

Phone number

(207) 775-1140

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADDITIONAL CLARK & STUART INFORMATION (3/27/2025)

Regulatory assets under management

Total Number of Accounts	170
AUM (Assets Under Management)	$ 167,821,888

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.

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Charles S. Clark

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Stone Clark's CRS (Customer Relationship Summary).

Certified licenses

Experience

BANGOR SECURITIES, INC.

INVESTORS BROKERAGE SERVICES, INC.

TOWER SQUARE SECURITIES, INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

CLARK & STUART INC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/22/2002

Series 63

Date: 2/10/1983

Series 7

Date: 1/20/1979

Current Firm

CLARK & STUART INC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLARK & STUART INC

TRUST BUT VERIFY

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