Steven Clarke is a CFP-designated registered investment advisor, based in Charlotte, NC, with 15 years of industry experience. Steven is also registered as a broker, so some compensation may come from commissions on products sold.
Location
1030 Admiral Nelson Ct, Charlotte, NC, 28262
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Steven is an employee of The Vanguard Group, Inc., the parent company of Vanguard Marketing Corporation. This activity is not investment-related.
Employment History
Current Registrations
Vanguard Advisers, INC.
Vanguard Marketing CorporationBroker
Vanguard Marketing Corporation
Previous Registrations
Tiaa-Cref Individual & Institutional Services, LLCBroker
Advice and Planning Services
Vanguard Advisers INC
Vanguard Marketing CorporationBroker
Edward Jones
Edward JonesBroker
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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