Charles Stone Clark
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Charles Stone Clark, Rocky Clark
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PFS INVESTMENTS INC.
Videos & Posts
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PFS INVESTMENTS INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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PFS INVESTMENTS INC.
Disclosures on record.
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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PFS INVESTMENTS INC.
Years of Experience
47 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
CLARK & STUART INC
Contact Information
Main Address
1945 Congress Street Building A, Portland, ME 04102Mailing Address
203 Willow Street, South Hamilton, MA 01982Phone Number
(207) 775-1140# of Employees
4SEC notice filing (6 States and Territories)
Registered to provide investment advisory services in 6 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
180AUM (Assets Under Management)
$195,585,257Similar Advisors
PFS INVESTMENTS INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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PFS INVESTMENTS INC.
Primary Firm SEC Registration
CLARK & STUART INC
State Registrations and Notice Filings
(5/17/2012)
(9/6/2017)
(8/18/2004)
(4/17/2012)
(4/14/2005)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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PFS INVESTMENTS INC.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Stone Clark's CRS (Customer Relationship Summary).
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PFS INVESTMENTS INC.