Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Clark? Claim Your ProfileClark Clifford Small is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., where has been employed since August 2010. Small has been in the financial industry since 1994, starting at Dean Witter Reynolds Inc. in 1994. Small has a range of experience in the industry working for Smith Barney Inc. in 1994, SEAFIRST INVESTMENT SERVICES, INC. in 1997, WM FINANCIAL SERVICES, INC. in 1998, WAMU INVESTMENTS, INC. in 2002 and WELLS FARGO INVESTMENTS, LLC in 2008. Clark holds licenses in 30 states and is also registered with the state of Idaho as an Investment Advisor Representative. Small has a broad base of experience serving high-net-worth individuals, pension and profit-sharing plans, corporations and other businesses, charitable organizations, insurance companies and banking or thrift institutions.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
WA
08/23/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BELLEVUE WA)
WA
02/08/2008 - 09/01/2010
WELLS FARGO INVESTMENTS, LLC (KIRKLAND WA)
WA
08/23/2002 - 02/13/2008
WAMU INVESTMENTS, INC. (SEATTLE WA)
MA
07/16/2002 - 09/05/2002
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
CA
02/02/1998 - 07/17/2002
WM FINANCIAL SERVICES, INC. (IRVINE CA)
WA
07/24/1995 - 12/22/1997
SEAFIRST INVESTMENT SERVICES, INC. (SEATTLE WA)
NY
06/07/1994 - 07/21/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
02/22/1994 - 04/18/1994
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 07/11/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/09/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/18/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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