Raymond ClarkCRD Number: 1009242
Current Firm: The Clark Group Asset Management
Raymond Clark (CRD# 1009242) is an Investment Advisor Representative working at The Clark Group Asset Management in Sherman Oaks, CA and has over 30 years of experience in the finance industry. Raymond Clark has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Fried Asset Management, Inc.
Ira Wealth Management
|The Clark Group Asset Management||Sherman Oaks, CA||Nov 2005 - Current||11|
|Purshe Kaplan Sterling Investments||Albany, NY||Oct 2012 - Dec 2013||1|
|Wells Fargo Advisors Financial Network LLC||Sherman Oaks, CA||May 2009 - Sep 2012||3|
|Wachovia Securities Financial Network, LLC||Sherman Oaks, CA||Nov 2005 - May 2009||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 1985|
|S65||NASAA Investment Advisors Law Examination||Nov 1997|
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:
- Customer Dispute
Total Assets Under Management168MILLIONS
Total Number of Accounts592ACCOUNTS
Average Account Value$284,444
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
AZ, CA, CO, GA, LA, NE, NV, OR, TX, UT, WA
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