Marvin O. Docken

PROFESSIONAL RETIREMENT STRATEGIES LLC

Omaha, NE 68144-5576

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CRD#: 1159381

Professional summary

Marvin Oscar Docken is a registered financial advisor currently at PROFESSIONAL RETIREMENT STRATEGIES LLC located in Omaha, Nebraska.

Marvin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Marvin has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

MARVIN O. DOCKEN; INVT REL; 3925 S 147TH ST, SUITE 115, OMAHA NE 68144; INSURANCE; AGENT/INSURANCE SALES REP; START 01/1995; 10 HRS/MO; 10 HRS/MO DURING TRADING; INSURANCE & FIXED ANNUITIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marvin Oscar Docken's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 22, 2018 - Present

PROFESSIONAL RETIREMENT STRATEGIES LLC

Office #1: 3925 S. 147th Street Suite 115, Omaha, NE 68144-5576

RIA

CRD#: 287808

Omaha, NE

Past

June 19, 2013 - December 31, 2017

GRADIENT SECURITIES, LLC

CRD#: 127701

OMAHA, NE

Past

June 17, 2011 - June 18, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

OMAHA, NE

Past

August 2, 2010 - February 11, 2011

QA3 FINANCIAL CORP.

CRD#: 14754

OMAHA, NE

Past

August 1, 2008 - August 3, 2010

NATIONWIDE SECURITIES, LLC

CRD#: 11173

OMAHA, NE

Past

February 21, 1996 - August 1, 2008

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

OMAHA, NE

Past

July 17, 1985 - February 4, 1994

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(6/28/2021)

IAR

Iowa
(10/30/2018)

IAR

Nebraska
(5/22/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/3/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/9/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/16/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PROFESSIONAL RETIREMENT STRATEGIES LLC

CRD#: 287808 / SEC#:

Colorado

Registered Investment Advisory firm - (6/28/2021 Approved)

Iowa

Registered Investment Advisory firm - (4/6/2017 Approved)

Missouri

Registered Investment Advisory firm - (8/4/2017 Approved)

Nebraska

Registered Investment Advisory firm - (3/27/2017 Approved)

Texas

Registered Investment Advisory firm - (8/31/2017 Approved)

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Contact information

Main Address

3925 S. 147th Street Suite 115, Omaha, NE 68144-5576

Mailing Address

Phone number

(402) 305-5165

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	265
AUM (Assets Under Management)	$ 33,024,000

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.

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Firm Stability Insights

Marvin O. Docken

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marvin Oscar Docken's CRS (Customer Relationship Summary).

Certified licenses

Experience

GRADIENT SECURITIES, LLC

WALNUT STREET SECURITIES, INC.

QA3 FINANCIAL CORP.

NATIONWIDE SECURITIES, LLC

1717 CAPITAL MANAGEMENT COMPANY

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/3/2018

Series 63

Date: 12/9/1996

SIE

Date: 12/31/2017

Series 6

Date: 7/16/1985

Current Firm

PROFESSIONAL RETIREMENT STRATEGIES LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PROFESSIONAL RETIREMENT STRATEGIES LLC

TRUST BUT VERIFY

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