Marvin R. Konrad
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.
Marvin Ray Konrad, who also goes by Marvin Konrad, was a registered financial professional .
Marvin is a previously registered financial professional and started their career in finance in 1987. Marvin had worked at 8 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2007 - December 31, 2009
KOVACK SECURITIES INC.
December 1, 2006 - December 31, 2006
QUESTAR CAPITAL CORPORATION
December 2, 2003 - December 1, 2006
USALLIANZ SECURITIES, INC.
March 12, 2002 - December 4, 2003
PAN-AMERICAN FINANCIAL ADVISERS
August 19, 1997 - March 6, 2002
MORGAN STANLEY DW INC.
August 13, 1990 - August 13, 1997
A. G. EDWARDS & SONS, INC.
May 14, 1988 - August 9, 1990
LEHMAN BROTHERS INC.
December 23, 1987 - May 14, 1988
E. F. HUTTON & COMPANY INC
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
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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.
