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CLARK WILLIAM TATUM
CRD#: 1386870
IA
B
LINCOLN INVESTMENTCRD#: 519 Millsboro, DE
0
Disclosures
32
Years of Experience
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State Registrations
B
Delaware 1/3/2019
IA
New Jersey 6/6/2017
B
Florida 1/3/2017
B
North Carolina 1/3/2017
B
Georgia 10/15/2019
B
Pennsylvania 1/3/2017
B
New Jersey 1/3/2017
SRO Registrations
B
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IA
Registered with this firm since 6/6/2017
B
Registered with this firm since 1/3/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/14/2004 - 10/04/2019 | Iselin, NJ | |
B | 01/22/2003 - 01/03/2017 | PRINCETON JCT, NJ | |
B | 01/09/2002 - 02/05/2003 | HOUSTON, TX | |
B | 01/09/2001 - 05/23/2001 | WEEHAWKEN, NJ | |
B | 05/28/1999 - 12/22/2000 | NEWARK, NJ | |
B | 01/27/1998 - 05/03/1999 | NEWARK, NJ | |
B | 02/27/1991 - 10/17/1996 | SOMERSET, NJ |
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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.