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MICHAEL WAYNE CLARK
MIKE CLARK
CRD#: 47737
IA
B
M HOLDINGS SECURITIES, INC.CRD#: 43285 1 NORTHFIELD PLAZA
SUITE 430
NORTHFIELD, IL 60093
SUITE 430
NORTHFIELD, IL 60093
0
Disclosures
47
Years of Experience
View By:
State Registrations
IA
Arizona 6/1/2023
B
Maryland 8/10/2017
B
California 4/26/2013
IA
Maryland 9/3/2024
IA
California 9/3/2024
B
Michigan 2/13/2018
B
Colorado 2/9/2018
IA
Michigan 2/3/2023
IA
Colorado 2/1/2023
B
Missouri 11/14/2022
B
Connecticut 10/24/2023
IA
Missouri 9/3/2024
IA
Florida 2/2/2023
B
New Jersey 8/15/2023
B
Georgia 4/9/2024
B
North Carolina 1/24/2005
IA
Georgia 9/5/2024
IA
North Carolina 9/3/2024
B
Hawaii 4/25/2013
B
Ohio 2/11/2025
B
Illinois 3/30/2001
IA
Ohio 2/12/2025
IA
Illinois 4/30/2001
B
Pennsylvania 2/13/2018
B
Indiana 6/10/2024
IA
Pennsylvania 9/3/2024
B
Iowa 3/15/2018
B
Wisconsin 4/20/2001
IA
Iowa 9/3/2024
IA
Wisconsin 2/2/2023
SRO Registrations
B
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IA
Registered with this firm since 4/30/2001
B
Registered with this firm since 3/30/2001
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/13/1994 - 04/03/2001 | BOSTON, MA | |
B | 02/09/1982 - 12/19/1989 | NEWARK, NJ | |
B | 11/21/1972 - 12/19/1989 | NEWARK, 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.