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JM

John Kenneth Marcum

CRD# 1792019·Registered 1988 - 2005
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Kenneth Marcum was a registered financial advisor. John was a previously registered financial advisor and started their career in finance 1988 - 2005. John had worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

38 years in the financial services industry

Current & Past Employments

PROACTIV ADVISORS, LLC·CRD# 128272
RIA
Indianapolis, IN
October 22, 2003 - February 18, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
Indianapolis, IN
April 29, 1996 - September 2, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
February 23, 1988 - September 2, 2003

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Current Firm

No current employment

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jan 1996About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1988About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Feb 1988About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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