Herbert J. Marx
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.
Herbert John Marx, who also goes by Herbert J Marx, Herbert Marx, John Marx, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1988. Herbert had worked at 15 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 9, Series 10, Series 8, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2025 - March 15, 2026
LPL FINANCIAL LLC
May 15, 2025 - March 15, 2026
LPL FINANCIAL LLC
October 19, 2011 - May 15, 2025
CUSO FINANCIAL SERVICES, L.P.
October 19, 2011 - May 15, 2025
CUSO FINANCIAL SERVICES, L.P.
April 15, 2011 - October 13, 2011
BANCWEST INVESTMENT SERVICES, INC.
April 15, 2011 - October 13, 2011
BANCWEST INVESTMENT SERVICES, INC.
December 8, 2010 - April 13, 2011
FIFTH THIRD SECURITIES, INC.
December 8, 2010 - April 13, 2011
FIFTH THIRD SECURITIES, INC.
July 6, 2010 - November 23, 2010
CUSO FINANCIAL SERVICES, L.P.
July 6, 2010 - November 23, 2010
CUSO FINANCIAL SERVICES, L.P.
June 21, 2010 - July 1, 2010
VALIC FINANCIAL ADVISORS, INC.
June 14, 2010 - July 1, 2010
VALIC FINANCIAL ADVISORS, INC.
July 6, 2009 - June 8, 2010
ALLSTATE FINANCIAL SERVICES, LLC
January 9, 2006 - January 12, 2009
AUGUSTAR DISTRIBUTORS, INC.
April 14, 2005 - December 9, 2005
NATCITY INVESTMENTS, INC.
March 9, 2000 - January 18, 2005
NATIONWIDE INVESTMENT SERVICES CORPORATION
May 14, 1999 - December 2, 1999
KEYBANC CAPITAL MARKETS INC.
August 7, 1996 - June 9, 1999
KEY INVESTMENTS INC.
February 22, 1995 - August 9, 1996
INVEST FINANCIAL CORPORATION
November 7, 1989 - February 17, 1995
FINANCIAL HORIZONS SECURITIES CORPORATION
July 14, 1988 - September 9, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 14, 1988 - September 9, 1989
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 8
Date: 3/5/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
