Charles Clark has been Principle,chief Compliance Officer of Clark & Stuart since February 1994, is a control person of the firm and directly owns between 50% and 75% of it. Charles Clark holds a B.S. in Economics-Finance from Bentley College.
Clark & Stuart Inc is a Portland, ME firm with $196M under management, 180 clients and 4 advisers across 2 offices, as of its March 2026 filing.
Charles Stone 'Rocky' Clark is President of Clark & Stuart. He co-founded the firm in 1994, has served as President since inception and is the principal day-to-day contact for its clients. He began his investment career in 1978 as a stockbroker with E.F. Hutton, and in 1985 he joined Clark Associates of Portland Maine as a Personal Financial Advisor. He is a Past President of the Northern New England Society of Certified Financial Planners.
- Clark & Stuart IncCurrent– present · 22 yearsPortland, ME · Adviser representative · Firm CRD 107991
Professional designations
Listed by Clark & Stuart
- Certified Financial Planner
Investment adviser representative registrations
Charles Clark is registered as an investment adviser representative in 6 states, as a resident of Texas. The first approvals date from August 2004; the most recent is Florida, in September 2017.
- ConnecticutSince 17 May 2012
- FloridaSince 6 September 2017
- MaineSince 18 August 2004
- MassachusettsSince 17 April 2012
- New HampshireSince 14 April 2005
- TexasResidentSince 16 February 2005
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 22 May 2002 |
| Series 63 | Uniform Securities Agent State Law Examination | 10 February 1983 |
| Series 7 | General Securities Representative Examination | 20 January 1979 |
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Charles Stone Clark
- CRD
- 861962
- Firm
- Clark & Stuart · CRD 107991
- Role
- Principle,chief Compliance Officer
- Office
- 1945 CONGRESS STREET, Building A, Portland, ME 04102
- Registration
- Investment adviser registration
- In the industry since
- October 1979
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- clarkandstuart.com
Where does Charles Clark work?
Charles Clark has been Principle,chief Compliance Officer of Clark & Stuart Inc since February 1994, and is a control person of the firm.
Is Charles Clark a financial advisor?
Yes. Charles Clark has a current investment-adviser registration in Connecticut, Florida, Maine, Massachusetts, New Hampshire and Texas, through Clark & Stuart since August 2004.
How many years of experience does Charles Clark have?
Charles Clark has 46 years in the financial industry, since October 1979, across 1 adviser firm.
What exams has Charles Clark passed?
Charles Clark has passed 3 licensing exams: the Series 7, Series 63 and Series 66. The earliest, the Series 7, was passed in January 1979.
Where is Charles Clark based?
Charles Clark’s registered office is in Portland, ME.
Is Charles Clark registered with FINRA?
No. Charles Clark has no current broker registration.
Is Charles Clark a CFP?
Clark & Stuart lists Charles Clark with the CFP credential (“Certified Financial Planner”) on its website. CFP Board confirms certification status.
Source: Charles Stone 'Rocky' Clark biography, clarkandstuart.com
How can I verify Charles Clark’s record?
Search CRD 861962 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Charles Clark’s full registration record.