Marlin D. Dayoub
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.
Marlin Dale Dayoub, who also goes by Marlin D Dayoub, was a registered financial professional .
Marlin is a previously registered financial professional and started their career in finance in 1988. Marlin had worked at 11 firms and has passed the Series 66, Series 63, SIE 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
September 12, 2012 - January 17, 2017
CUNA BROKERAGE SERVICES, INC.
August 31, 2012 - January 17, 2017
CUNA BROKERAGE SERVICES, INC.
August 7, 2007 - May 23, 2011
TRANSAMERICA INVESTMENT MANAGEMENT, LLC
June 20, 2007 - February 27, 2012
TRANSAMERICA CAPITAL, LLC
September 26, 2005 - June 22, 2007
TRUIST INVESTMENT SERVICES, INC.
May 16, 2005 - June 22, 2007
TRUIST INVESTMENT SERVICES, INC.
October 10, 2002 - May 18, 2005
TOWER SQUARE SECURITIES, INC.
June 26, 2002 - November 15, 2002
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
February 9, 2001 - July 22, 2002
NYLIFE DISTRIBUTORS LLC
June 1, 1999 - December 4, 2000
TALBOT FINANCIAL SERVICES, INC.
August 24, 1998 - June 1, 1999
SIGNATOR FINANCIAL SERVICES, INC.
June 10, 1994 - July 6, 1998
MML INVESTORS SERVICES, LLC
June 21, 1988 - December 19, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Exams
Current Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
