Darryl C. Marks
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Darryl Clark Marks was a registered financial advisor .
Darryl is a previously registered financial advisor and started their career in finance in 1993. Darryl had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 53, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2014 - September 27, 2016
KESTRA INVESTMENT SERVICES, LLC
January 4, 2008 - April 25, 2012
WEALTHSPIRE RETIREMENT ADVISORY
May 4, 2007 - July 22, 2014
FINANCIAL TELESIS INC
May 4, 2007 - July 22, 2014
FINANCIAL TELESIS INC
July 1, 1999 - March 27, 2007
WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.
January 20, 1997 - March 27, 2007
WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.
July 8, 1993 - February 13, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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