Marc L. Dvorak
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.
Marc Louis Dvorak, who also goes by Marc Dvorak, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1985. Marc had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2021 - July 2, 2025
USAA INVESTMENT SERVICES COMPANY
January 8, 2018 - June 29, 2020
USAA INVESTMENT SERVICES COMPANY
June 29, 2012 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
April 2, 2012 - June 19, 2020
USAA FINANCIAL ADVISORS, INC.
January 21, 2011 - December 31, 2011
TRUIST INVESTMENT SERVICES, INC.
January 21, 2011 - December 31, 2011
TRUIST INVESTMENT SERVICES, INC.
October 22, 2009 - May 3, 2010
NEW ENGLAND SECURITIES
July 7, 2006 - September 28, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 7, 2006 - September 28, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 2, 2006 - July 7, 2006
PRINCIPAL SECURITIES, INC.
December 5, 2003 - July 7, 2006
PRINCIPAL SECURITIES, INC.
April 6, 2001 - November 14, 2003
NEW ENGLAND SECURITIES
April 5, 2000 - April 10, 2001
SIGNATOR INVESTORS, INC.
June 28, 1995 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
June 28, 1995 - March 20, 2000
SIGNATOR INVESTORS, INC.
April 26, 1988 - January 27, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 26, 1988 - January 27, 1995
SIGNATOR INVESTORS, INC.
February 12, 1988 - April 19, 1988
TRANSAMERICA FINANCIAL ADVISORS, INC.
February 12, 1988 - April 20, 1988
TRANSAMERICA SECURITIES SALES CORPORATION
November 26, 1985 - January 27, 1995
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
