CASEY THOMAS CLARK
CRD #107459 SEC #801-41333 NEWPORT BEACH, CA 949-721-6629
SEC Registered
Total AUM
$33.9M
Discretionary
$33.9M
Employees
5
Clients
--
Accounts
23
Firm Details
- Organization Type
- Sole Proprietorship
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 6, 2007
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| CASEY, THOMAS, CLARK | I | SOLE PROPRIETOR AND CHIEF COMPLIANCE OFFICER | E | Control |
| CASEY, THOMAS, CLARK | I | SOLE PROPRIETOR AND CHIEF COMPLIANCE OFFICER | E | Control |
| CASEY, THOMAS, CLARK | I | SOLE PROPRIETOR AND CHIEF COMPLIANCE OFFICER | E | Control |
| CASEY, THOMAS, CLARK | I | SOLE PROPRIETOR AND CHIEF COMPLIANCE OFFICER | E | Control |
| CASEY, THOMAS, CLARK | I | SOLE PROPRIETOR AND CHIEF COMPLIANCE OFFICER | E | Control |
| CASEY, THOMAS, CLARK | I | SOLE PROPRIETOR | E | Control |
| CASEY, THOMAS, CLARK | I | SOLE PROPRIETOR AND CHIEF COMPLIANCE OFFICER | E | Control |
Registrations
Federal
IA
Feb 6, 2007 REGISTERED
Notice Filings (2)
CA WI
Address
620 NEWPORT CENTER DRIVE,STE 1100
NEWPORT BEACH, CA 92660
USA
Phone: 949-721-6629