Individual Firm
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MATTHEW GORDON CLARK
CRD#: 1319815
IA
B
PRINCIPAL SECURITIES, INC.CRD#: 1137 5600 Blazer Pkwy Ste 300
Dublin, OH 43017
Dublin, OH 43017
View By:
7/7/2023
Customer Dispute
Settled
State Registrations
B
California 8/21/2013
IA
Ohio 1/15/2004
B
Colorado 1/9/2021
B
Oklahoma 12/2/2024
B
Florida 8/23/2013
B
Pennsylvania 2/25/2010
B
Georgia 9/9/2024
B
Tennessee 4/7/2021
B
Michigan 2/19/2025
B
Texas 3/4/2008
B
Montana 12/3/2020
IA
Texas 5/20/2021
B
Ohio 1/14/2004
B
West Virginia 2/12/2014
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 1/15/2004
B
Registered with this firm since 1/14/2004
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/30/2003 - 12/31/2003 | DUBLIN, OH | |
B | 09/15/1999 - 12/31/2003 | DES MOINES, IA | |
B | 11/17/1995 - 04/26/1999 | LOS ANGELES, CA | |
B | 05/03/1991 - 11/06/1995 | ENGLEWOOD, CO | |
B | 01/27/1986 - 01/20/1990 | ENGLEWOOD, CO | |
B | 12/23/1988 - 01/19/1989 | ||
B | 12/12/1986 - 12/23/1988 |
12/23/1988 - 01/19/1989
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B
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.
IA
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.