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LYNDON JEFFRY CLARK
CRD#: 1239280
IA
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ESI FINANCIAL ADVISORSCRD#: 265 1515 MOCKINGBIRD LANE
SUITE 800
CHARLOTTE, NC 28209
SUITE 800
CHARLOTTE, NC 28209
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Disclosures
39
Years of Experience
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State Registrations
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North Carolina 6/3/2016
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South Carolina 8/13/2024
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North Carolina 4/8/2019
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Texas 10/6/2022
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South Carolina 10/6/2022
SRO Registrations
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Registered with this firm since 9/22/2017
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Registered with this firm since 2/9/2001
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 03/04/1999 - 01/09/2001 | NEWARK, NJ | |
B | 08/14/1998 - 10/19/1998 | FORT MILL, SC | |
B | 05/17/1996 - 08/21/1998 | NEW YORK, NY | |
B | 08/23/1991 - 04/25/1996 | BOSTON, MA | |
B | 08/23/1991 - 04/25/1996 | BOSTON, MA | |
B | 02/06/1990 - 09/25/1990 | NEW YORK, NY | |
B | 02/06/1990 - 09/25/1990 | NEW YORK, NY | |
B | 06/05/1984 - 11/21/1989 | BOSTON, MA |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.