Marvin A. Ehrlich
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.
Marvin Allen Ehrlich was a registered financial professional .
Marvin is a previously registered financial professional and started their career in finance in 1983. Marvin had worked at 5 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2005 - March 5, 2013
J.P. TURNER & COMPANY, L.L.C.
September 6, 2005 - December 16, 2005
JANNEY MONTGOMERY SCOTT LLC
December 6, 2002 - December 16, 2005
JANNEY MONTGOMERY SCOTT LLC
June 12, 2002 - December 17, 2002
UBS FINANCIAL SERVICES INC.
June 26, 1992 - December 17, 2002
UBS FINANCIAL SERVICES INC.
August 9, 1985 - July 6, 1992
PRUDENTIAL EQUITY GROUP, LLC
January 19, 1983 - September 11, 1985
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
Series 8
Date: 8/31/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
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.
