Albert F. 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.
Albert Franklin Clark, who also goes by Bert Clark, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1979. Albert had worked at 4 firms and has passed the Series 63, Series 7, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 1992 - March 29, 1996
SEAFIRST INVESTMENT SERVICES, INC.
February 7, 1990 - April 25, 1992
SEAFIRST SECURITIES, INC.
July 24, 1985 - November 14, 1989
KMS FINANCIAL SERVICES, INC.
May 1, 1979 - June 10, 1985
DAIN RAUSCHER INCORPORATED
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
Series 8
Date: 5/7/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SEAFIRST INVESTMENT SERVICES, INC.
CRD#: 17411 / SEC#: , 8-35110
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.
