HM
Howard S. Marks
OCM INVESTMENTS
New York, NY 10019
Some features on this profile are disabled
CRD#: 1864172
HM
Professional summary
Howard Stanley Marks is a registered financial professional currently at OCM INVESTMENTS, LLC located in New York, New York.
Howard is registered as a RR (Registered Representative) and started their career in finance in 2004. Howard has worked at 1 firm and has passed the Series 63, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Howard Stanley Marks's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 8, 2004 - Present
OCM INVESTMENTS, LLC
Office #1: 1301 Avenue Of The Americas 34th Floor, New York, NY 10019Office #2: 2 Newtown Lane, East Hampton, NY 11937BD
CRD#: 128803
New York, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/12/2004)
RR
Alaska(3/10/2004)
RR
Arizona(3/12/2004)
RR
Arkansas(3/9/2004)
RR
California(3/8/2004)
RR
Colorado(3/18/2004)
RR
Connecticut(3/8/2004)
RR
Delaware(3/15/2004)
RR
District of Columbia(3/8/2004)
RR
Florida(3/15/2004)
RR
Georgia(3/8/2004)
RR
Hawaii(3/22/2004)
RR
Idaho(3/8/2004)
RR
Illinois(3/8/2004)
RR
Indiana(4/23/2004)
RR
Iowa(3/11/2004)
RR
Kansas(3/10/2004)
RR
Kentucky(3/9/2004)
RR
Louisiana(3/11/2004)
RR
Maine(3/15/2004)
RR
Maryland(3/25/2004)
RR
Massachusetts(3/11/2004)
RR
Michigan(3/24/2004)
RR
Minnesota(3/9/2004)
RR
Mississippi(3/15/2004)
RR
Missouri(3/8/2004)
RR
Montana(3/12/2004)
RR
Nebraska(3/30/2004)
RR
Nevada(3/9/2004)
RR
New Hampshire(4/10/2008)
RR
New Jersey(3/12/2004)
RR
New Mexico(3/16/2004)
RR
New York(3/9/2004)
RR
North Carolina(3/9/2004)
RR
North Dakota(3/16/2004)
RR
Ohio(3/11/2004)
RR
Oklahoma(3/8/2004)
RR
Oregon(3/12/2004)
RR
Pennsylvania(3/12/2004)
RR
Puerto Rico(3/15/2004)
RR
Rhode Island(3/29/2004)
RR
South Carolina(3/12/2004)
RR
South Dakota(3/9/2004)
RR
Tennessee(3/25/2004)
RR
Texas(3/9/2004)
RR
Utah(3/9/2004)
RR
Vermont(3/15/2004)
RR
Virginia(3/8/2004)
RR
Washington(3/9/2004)
RR
West Virginia(3/9/2004)
RR
Wisconsin(3/9/2004)
RR
Wyoming(3/9/2004)
Exams
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OCM INVESTMENTS, LLC
OCM INVESTMENTS, LLC
CRD#: 128803 / SEC#: , 8-66176
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
333 South Grand Avenue (28th Floor), Los Angeles, CA 90071
Mailing Address
333 South Grand Avenue (28th Floor), Los Angeles, CA 90071
Phone number
(213) 830-6300
Established
Delaware since 08/04/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
