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CHARLES PHILIP CLARK
CHARLES CLARK, PHIL CLARK
CRD#: 842861
IA
B
WELLS FARGO ADVISORSCRD#: 11025 101 E 2ND ST 200 FL 2
OWENSBORO, KY 42303
OWENSBORO, KY 42303
0
Disclosures
45
Years of Experience
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State Registrations
B
Arizona 10/23/2024
B
Montana 10/21/2024
B
Florida 10/21/2024
B
New Hampshire 10/23/2024
B
Illinois 10/23/2024
B
North Carolina 11/13/2024
B
Indiana 10/21/2024
B
South Carolina 10/21/2024
B
Kentucky 10/21/2024
B
Tennessee 10/21/2024
IA
Kentucky 10/21/2024
IA
Texas 10/21/2024
B
Missouri 10/21/2024
B
Texas 11/26/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 10/21/2024
B
Registered with this firm since 10/21/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/30/2014 - 10/28/2024 | OWENSBORO, KY | |
IA | 06/30/2014 - 10/21/2024 | OWENSBORO, KY | |
IA | 07/03/2000 - 07/22/2014 | OWENSBORO, KY | |
B | 05/29/2002 - 07/22/2014 | OWENSBORO, KY | |
IA | 09/17/2002 - 12/31/2004 | OWENSBORO, KY | |
B | 05/03/1990 - 06/28/2002 | ST. PAUL, MN | |
B | 11/01/1983 - 01/18/1990 | ||
B | 12/03/1984 - 03/14/1986 | ||
B | 07/23/1979 - 04/11/1983 | ||
B | 09/14/1977 - 10/18/1978 |
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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.