William B. Marlin
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.
William Brad Marlin, who also goes by Brad William Marlin, William Brad Edward Marlin, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1988. William had worked at 4 firms and has passed the Series 63, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 1992 - July 31, 1992
E-INVEST, INC.
March 20, 1990 - October 11, 1991
CUCHARA RESOURCES, INC.
October 31, 1988 - July 18, 1989
MORGAN, CALLAHAN & CO., INC.
June 15, 1988 - October 19, 1988
STERN FINANCIAL SECURITIES, 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
E-INVEST, INC.
CRD#: 18298 / SEC#: , 8-36270
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
