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Nathan P Clark

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Tucson, AZCRD #4867549Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
15 yrs
States Registered
11 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 11 states
ArizonaCaliforniaColoradoGeorgiaNebraskaNevadaNew MexicoNew YorkOklahomaTexasWashington
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 9/8/2012
Series 63
Uniform Securities Agent State Law Examination
Passed 11/4/2004
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 7/13/2012
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 10/25/2004

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Merrill Lynch, Pierce, Fenner & Smith Incorporated Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
5/5/2022Tucson, AZ
BANCWEST INVESTMENT SERVICES, INC. (BWIS)
2/22/20165/13/2022Tucson, AZ
BMO HARRIS FINANCIAL ADVISORS, INC
2/27/20131/5/2016Tucson, AZ

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Nathan P Clark has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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