James Clark, financial advisor Clarkston MI
78 score

James Clark

CRD Number: 1826692
Current Firm: Transamerica Retirement Advisors, LLC

James Clark (CRD# 1826692) is an Investment Advisor Representative working at Transamerica Retirement Advisors, LLC in Clarkston, MI and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Diversified Investors Securities Corp. Clarkston, MI Apr 2012 - Current 4
Diversified Clarkston, MI Jan 2012 - Current 4
Royal Alliance Birmingham, MI Nov 2011 - Current 5
Unemployed Clarkston, MI Oct 2011 - Nov 2011 < 1
Levanto Financial Troy, MI Sep 2010 - Sep 2011 1
Rock Development Clarkston, MI Jan 2000 - Aug 2010 10
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 2011
S65 NASAA Investment Advisors Law Examination Dec 2011
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for James R. Clark
Phone Number: 866-368-0566
Registered State(s):
  • MI
By the Numbers
  • Total Assets Under Management
    3,536
    MILLIONS
  • Total Number of Accounts
    1,013
    ACCOUNTS
  • Average Account Value
    $3,490,703
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
78

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