Stephen A Marks
Professional Summary
Stephen A Marks, who also goes by Stephen Alexander Marks, Steve Marks, is a registered financial advisor currently at ENCLAVE CAPITAL LLC located in Princeton, New Jersey. Stephen is registered as a RR (Registered Representative) and started their career in finance in 1983. Stephen has worked at 11 firms and has passed the Series 63, Series 79TO, Series 7TO, SIE, Series 3 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephen Alexander Marks, Steve Marks
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
Years of Experience
43 years in the financial services industry
Current & Past Employments
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
Current Firm
BELTONE ENCLAVE SECURITIES | KNG (USA) - ENCLAVE | KLITZBERG ENCLAVE | HRA CAPITAL | ENCLAVE SECURITIES | ENCLAVE CAPITAL, L.L.C. | ENCLAVE CAPITAL LLC | CRIPPLE CREEK SECURITIES, L.L.C. | CRIPPLE CREEK SECURITIES CO. | CAJ CO.
Contact Information
Main Address
701 Brickell Avenue Suite 1550, Miami, FL 33131Mailing Address
701 Brickell Ave Suite 1550, Miami, FL 33131Phone Number
(646) 454-8600Established
Delaware since 05/31/1995Firm Type
Limited Liability CompanyFiscal Year End
MarchFirm Size
SmallFINRA licenses (18 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
3Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
(9/24/2019)
(9/24/2019)
(9/24/2019)
(9/24/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
CRS (Client Relationship Summary) - BD
Click below to view Stephen A Marks's CRS (Customer Relationship Summary).
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
