Kevin S. Marsh
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.
Kevin Stephen Marsh, who also goes by Kevin Stephen Marsh Mr., was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1985. Kevin had worked at 19 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2019 - March 13, 2020
LPL FINANCIAL LLC
August 26, 2019 - March 13, 2020
LPL FINANCIAL LLC
February 27, 2015 - December 20, 2018
ADVISORS ASSET MANAGEMENT, INC.
January 30, 2015 - December 20, 2018
ADVISORS ASSET MANAGEMENT, INC.
February 25, 2014 - February 2, 2015
ARCHER DISTRIBUTORS, LLC
January 27, 2009 - August 1, 2012
NEXBANK SECURITIES INC
May 28, 2008 - July 15, 2008
PACER FINANCIAL, INC.
July 23, 2007 - April 2, 2008
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
March 2, 2007 - May 21, 2007
ALPS DISTRIBUTORS, INC.
May 26, 2005 - February 23, 2006
OLD MUTUAL INVESTMENT PARTNERS
September 30, 2004 - June 6, 2005
TRANSAMERICA CAPITAL, LLC
September 11, 2003 - June 28, 2004
MANULIFE INVESTMENT MANAGEMENT (US) LLC
September 11, 2003 - June 28, 2004
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
October 25, 2002 - June 28, 2004
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
September 3, 1993 - April 1, 2002
INVESCO CAPITAL MARKETS, INC.
October 24, 1991 - August 18, 1993
ASTRA FUND DISTRIBUTORS CORP.
August 27, 1990 - October 16, 1991
MILK ST. INVESTMENT CORP.
April 4, 1990 - May 24, 1990
WATERSTONE FINANCIAL GROUP, INC.
November 21, 1986 - May 21, 1987
PRUDENTIAL EQUITY GROUP, LLC
November 11, 1986 - January 6, 1987
OBERWEIS SECURITIES, INC.
October 23, 1985 - October 3, 1986
KRUPP SECURITIES CORPORATION
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
