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Detailed Report
CASEY EVAN CLARK
CASEY CLARK
CRD#: 5165081
IA
Investment Adviser
B
Broker
PRINCIPAL SECURITIES, INC.CRD#: 1137 711 HIGH ST
DES MOINES, IA 50392
Registration History
20082010201220142016201820202022202420262 FIRMS2014 - Present (10 years)BAMERICAN FUNDS DISTRIBUTORS, INC. (CRD# 6247)2011 - 2014 (2 years)BDIVERSIFIED INVESTORS SECURITI... (CRD# 32205)2010 - 2011 (1 year)BTHE O.N. EQUITY SALES COMPANY (CRD# 2936)2008 - 2010 (2 years)IAAMERICAN FUNDS DISTRIBUTORS, INC. (CRD# 6247)2013 - 2014 (1 year)IAON INVESTMENT MANAGEMENT CO (CRD# 105662)2009 - 2010 (1 year)
License(s)

State Registrations

B
Arkansas 8/26/2023
B
Massachusetts 1/30/2023
B
Colorado 11/4/2022
B
Nebraska 4/21/2023
B
Connecticut 12/4/2022
B
Oklahoma 12/6/2022
B
Florida 11/17/2022
B
Rhode Island 1/31/2023
B
Illinois 8/28/2014
B
South Dakota 1/18/2023
B
Iowa 9/14/2023
B
Utah 12/14/2022
IA
Iowa 9/18/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PRINCIPAL SECURITIES, INC. (CRD#:1137)
711 HIGH ST, DES MOINES, IA 50392
SOLON, IA
Registered with this firm since 9/5/2014
B
PRINCIPAL SECURITIES, INC. (CRD#:1137)
711 HIGH ST, DES MOINES, IA 50392
SOLON, IA
Registered with this firm since 8/28/2014
Previous Registration(s)
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IA
 05/07/2013 - 08/06/2014 AMERICAN FUNDS DISTRIBUTORS, INC. (CRD#:6247) CARMEL, IN
B
 12/21/2011 - 08/06/2014 AMERICAN FUNDS DISTRIBUTORS, INC. (CRD#:6247) CARMEL, IN
B
 07/26/2010 - 12/05/2011 DIVERSIFIED INVESTORS SECURITIES CORP. (CRD#:32205) CEDAR RAPIDS, IA
IA
 05/29/2009 - 07/15/2010 ON INVESTMENT MANAGEMENT CO (CRD#:105662) CEDAR RAPIDS, IA
B
 01/23/2008 - 07/15/2010 THE O.N. EQUITY SALES COMPANY (CRD#:2936) CEDAR RAPIDS, IA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.