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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

JAMES RAYMOND CLARK

Advisor at LPL FINANCIAL LLC

DALLAS, TX

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Search this name across graphsid dfx:ria:7cf85528-65e3-8413-0366-cd81b22b6844

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: May 1, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 18, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Jan 18, 1993
First registration: May 1, 2000
Dual registered: yes, broker-dealer
Other names: JAMES CLARK
IAPD individual key: 1368707

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 1, 2018	n/a	yes	DALLAS, TX	Current employment
BALEFIRE, LLC	Independent wealth	Jul 13, 2015	May 17, 2019	no	DALLAS, TX\|DALLAS, TX	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	May 1, 2014	Jul 8, 2015	no	DALLAS, TX	Previous registration
BOK FINANCIAL ADVISORS	Bd affiliated wealth	Oct 27, 2009	May 6, 2014	no	DALLAS, TX\|DALLAS, TX\|DALLAS, TX\|Plano, TX\|DALLAS, TX\|Dallas, TX	Previous registration
MOMENTUM INDEPENDENT NETWORK INC.	Bd affiliated wealth	Jan 8, 2009	Nov 2, 2009	no	DALLAS, TX\|DALLAS, TX	Previous registration
SANDERS MORRIS LLC	Independent wealth	Jun 26, 2006	Jan 30, 2007	no	DALLAS, TX\|DALLAS, TX	Previous registration
SMH CAPITAL ADVISORS LLC	Institutional manager	Oct 3, 2005	Dec 31, 2006	no	HOUSTON, TX	Previous registration
Stephens	Bd affiliated wealth	May 1, 2000	Oct 4, 2005	no	DALLAS, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BALEFIRE, LLC	LPL FINANCIAL LLC	May 17, 2019	Nov 1, 2018	-197	Firm change after gap	RIA to RIA
CETERA INVESTMENT ADVISERS LLC	BALEFIRE, LLC	Jul 8, 2015	Jul 13, 2015	5	Firm change	Other
BOK FINANCIAL ADVISORS	CETERA INVESTMENT ADVISERS LLC	May 6, 2014	May 1, 2014	-5	Firm change	Other
MOMENTUM INDEPENDENT NETWORK INC.	BOK FINANCIAL ADVISORS	Nov 2, 2009	Oct 27, 2009	-6	Firm change	Other
SANDERS MORRIS LLC	MOMENTUM INDEPENDENT NETWORK INC.	Jan 30, 2007	Jan 8, 2009	709	Firm change after gap	Other
SMH CAPITAL ADVISORS LLC	SANDERS MORRIS LLC	Dec 31, 2006	Jun 26, 2006	-188	Bulk transfer	Other
Stephens	SMH CAPITAL ADVISORS LLC	Oct 4, 2005	Oct 3, 2005	-1	Firm change	Other

Relationships

Registered with (8)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Nov 1, 2018 to presentfactForm ADV
→ BALEFIRE, LLCRegistered adviserregistration: previous registration
Jul 13, 2015 to May 17, 2019factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
May 1, 2014 to Jul 8, 2015factForm ADV
→ BOK FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Oct 27, 2009 to May 6, 2014factForm ADV
→ MOMENTUM INDEPENDENT NETWORK INC.Registered adviserregistration: previous registration
Jan 8, 2009 to Nov 2, 2009factForm ADV
→ SANDERS MORRIS LLCRegistered adviserregistration: previous registration
Jun 26, 2006 to Jan 30, 2007factForm ADV
→ SMH CAPITAL ADVISORS LLCRegistered adviserregistration: previous registration
Oct 3, 2005 to Dec 31, 2006factForm ADV
→ STEPHENSRegistered adviserregistration: previous registration
May 1, 2000 to Oct 4, 2005factForm ADV

Dated events

No dated event names this entity yet.