Christopher A. Marlett
Professional summary
Christopher Anthony Marlett, who also goes by Chris Marlett, is a registered financial professional currently at MDB CAPITAL located in Addison, Texas.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1986. Christopher has worked at 6 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher Anthony Marlett's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 5, 1997 - Present
MDB CAPITAL
Office #1: 14135 Midway Road, Suite G-150, Addison, TX 75001May 19, 1995 - December 1, 1997
LAIDLAW GLOBAL SECURITIES, INC.
April 12, 1995 - May 31, 1995
C. M. BLAIR, W. O. FOSTER & CO., INC.
March 25, 1991 - April 5, 1995
DRAKE & COMPANY, INC.
September 6, 1989 - April 2, 1991
MEYERS SECURITIES CORPORATION
August 19, 1986 - September 18, 1989
NEWHARD, COOK & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/21/2005)
(12/13/2017)
(9/26/1997)
(9/19/1997)
(11/23/2011)
(9/26/1997)
(4/11/2018)
(8/30/2010)
(8/21/1998)
(12/21/2005)
(11/23/2011)
(12/12/2014)
(9/29/2014)
(11/18/2010)
(11/23/2011)
(11/26/2012)
(12/9/2010)
(8/31/2017)
(12/1/1997)
(12/2/1997)
(10/31/1997)
(10/8/2018)
(6/21/2020)
(12/21/2005)
(9/29/2014)
(2/16/2018)
(7/20/2018)
(8/12/1997)
(12/21/2005)
(9/29/2014)
(9/30/1997)
(11/23/2011)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq Stock Market
Current Firm
MDB CAPITAL
CRD#: 42677 / SEC#: , 8-49951
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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