David J. Marina
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.
David Joseph Marina was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1982. David had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 53, Series 4 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
October 22, 2013 - November 3, 2016
WADDELL & REED
October 21, 2013 - November 3, 2016
WADDELL & REED
April 4, 2012 - September 26, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
March 19, 2012 - September 26, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
May 20, 2010 - August 25, 2010
EDWARD JONES
May 7, 2010 - August 25, 2010
EDWARD JONES
April 22, 2009 - May 19, 2010
WOODBURY FINANCIAL SERVICES, INC.
April 16, 2009 - May 19, 2010
WOODBURY FINANCIAL SERVICES, INC.
June 26, 2006 - January 13, 2009
SANDERS MORRIS LLC
February 21, 2006 - December 31, 2006
SMH CAPITAL ADVISORS LLC
January 24, 2006 - January 13, 2009
SANDERS MORRIS LLC
June 24, 2002 - January 23, 2006
WEDBUSH SECURITIES INC.
March 9, 2002 - June 27, 2002
RBC CAPITAL MARKETS, LLC
November 5, 1999 - March 9, 2002
SUTRO & CO. INCORPORATED
February 28, 1991 - July 17, 1991
ADAMS SECURITIES, INC.
September 13, 1990 - February 22, 1991
MALONE & ASSOCIATES, INC.
January 20, 1987 - November 8, 1989
ROBERT THOMAS SECURITIES, INC
November 20, 1985 - December 26, 1986
KENNEDY, CABOT & CO.
December 10, 1984 - November 5, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 22, 1983 - October 31, 1984
NIELSON AND CLARK INC.
March 14, 1983 - August 15, 1983
CHESLEY AND DUNN, INC.
December 21, 1982 - March 15, 1983
FIRST JERSEY SECURITIES, INC.
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
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
