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SM

Stephen A. Marks

ENCLAVE CAPITAL LLC
Princeton, NJ 08540
Some features on this profile are disabled
CRD#: 1181722
SM

Professional summary

Stephen A Marks, who also goes by Stephen Alexander Marks, Steve Marks, is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen Alexander Marks | Steve Marks

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen A Marks'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

September 24, 2019 - Present

ENCLAVE CAPITAL LLC

Office #1: 600 Alexander Road 2nd Floor, Princeton, NJ 08540
BD
CRD#: 22732
Princeton, NJ
Past

July 29, 2008 - August 20, 2019

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC

BD
CRD#: 135131
PRINCETON, NJ
Past

March 29, 2006 - December 20, 2007

HEDGE FUND CAPITAL PARTNERS, LLC

BD
CRD#: 113326
BROOKLYN, NY
Past

October 7, 2003 - December 19, 2005

TRAUTMAN WASSERMAN & COMPANY, INC.

BD
CRD#: 33007
NEW YORK, NY
Past

June 11, 2002 - April 30, 2003

WALL STREET FINANCIAL GROUP, INC.

BD
CRD#: 35830
VICTOR, NY
Past

July 25, 2000 - November 16, 2000

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

April 7, 1997 - March 31, 2000

EATON VANCE DISTRIBUTORS, INC.

BD
CRD#: 37731
BOSTON, MA
Past

July 8, 1993 - April 9, 1997

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

BD
CRD#: 487
CHARLOTTE, NC
Past

June 25, 1991 - December 24, 1992

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

April 11, 1988 - June 5, 1991

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 21, 1983 - December 13, 1985

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(9/24/2019)
RR
Massachusetts
(9/24/2019)
RR
New Jersey
(9/24/2019)
RR
New York
(9/24/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 6/21/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/31/1988
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/17/1983
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EC
ENCLAVE CAPITAL LLC
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.

CRD#: 22732 / SEC#: , 8-39592

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
301 Yamato Road Suite 2198, Boca Raton, FL 33431
Mailing Address
301 Yamato Road Suite 2198, Boca Raton, FL 33431
Phone number
(646) 454-8600
Established
Delaware since 05/31/1995
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MAZZEO, ROBERT LOUIS IIMANAGING MEMBER/CEO2460221
DUMONT, SUSAN ELIZABETHCCO2346501
VITTOR, GREG TODDFINOP, PRINCIPAL OPERATIONS OFFICER, PRINCIPAL FINANCIAL OFFICER1864219

Disclosures

Regulatory Event3

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.

Company Information

ENCLAVE CAPITAL LLC

CRD#: 22732Princeton, NJ 08540

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