Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Clark? Claim Your ProfileClark Cannon Pingree is a financial advisor with over 20 years of experience in the financial services industry. Clark has worked with several firms, including Wells Fargo Clearing Services, LLC, First Republic Securities Company, LLC, and J.P. Morgan Securities LLC. Clark is currently registered with HSBC Securities (USA) Inc. and provides investment advice to individuals, high-net-worth individuals, corporations, and pooled investment vehicles. Clark is a Series 6, 7, 9, 10, 24, 63, and 66 licensed financial advisor.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
CA
05/01/2024 - Present
Hsbc Securities (usa) Inc. (San Francisco CA)
CA
09/05/2023 - 04/23/2024
J.P. MORGAN SECURITIES LLC (San Francisco CA)
CA
10/27/2022 - 09/29/2023
FIRST REPUBLIC SECURITIES COMPANY, LLC (SAN FRANCISCO CA)
CA
05/07/2010 - 10/11/2022
WELLS FARGO CLEARING SERVICES, LLC (PLEASANTON CA)
CA
06/21/2004 - 04/06/2010
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
WI
07/21/2000 - 07/06/2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)
BOTH
Issued 07/25/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/21/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/05/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/25/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/05/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/17/2004
Series 7 - General Securities Representative Examination
BC
Issued 07/20/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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