James Andrew Marshall
Professional Summary
James Andrew Marshall, who also goes by James A Marshall, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1985 - 2023. James had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James A Marshall
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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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.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
F.R. SECURITIES COMPANY, L.L.C. | GRAND EAGLE INSURANCE SERVICES, LLC | GRAND EAGLE INSURANCE SERVICES, INC. | GRAND EAGLE INSURANCE SERVICES | GRAND EAGLE INSURANCE GROUP, LLC | FIRST REPUBLIC SECURITIES COMPANY, LLC | FIRST REPUBLIC PRIVATE WEALTH MANAGEMENT
Contact Information
Established
Nevada since 07/07/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallDirect owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JP MORGAN CHASE BANK, NATIONAL ASSOCIATION | STOCKHOLDER | — |
| BURGE, ANDREW C | DIRECTOR | 5619554 |
| GENTIN, NICOLAS ROBIN | DIRECTOR | 2723366 |
| HERRON, MICHAEL ROBERT | OFFICER | 2692410 |
| HONG, AMY | DIRECTOR | 4259934 |
| LEE, HYUNJOO | FINOP | 7074361 |
| MARTINEZ, MARK CAESAR | REGISTERED OPTIONS PRINCIPAL (ROP) | 2870632 |
| TATEOSIAN, DAVID CHARLES | PRESIDENT AND DIRECTOR | 1605404 |
| THORNTON, ROBERT LEE JR | DIRECTOR | 1412949 |
| WEITGENANT, DAVID ANDREW | CHIEF COMPLIANCE OFFICER | MSRB PRINCIPAL | 2096196 |
Disclosures
Regulatory Event
2Arbitration
1Similar Advisors
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Mar 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Nov 2022About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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