Carl D. Marix
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.
Carl Dwight Marix, who also goes by C Dwight, C Dwight Marix, was a registered financial advisor .
Carl is a previously registered financial advisor and started their career in finance in 1989. Carl had worked at 10 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2006 - October 8, 2007
QUESTAR CAPITAL CORPORATION
June 24, 2005 - August 3, 2006
USALLIANZ SECURITIES, INC.
June 23, 2005 - December 1, 2006
USALLIANZ SECURITIES, INC.
June 20, 2005 - June 22, 2005
USALLIANZ SECURITIES, INC.
January 1, 2004 - June 1, 2005
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - June 1, 2005
VOYA FINANCIAL ADVISORS, INC.
January 29, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
April 24, 2000 - January 1, 2004
LOCUST STREET SECURITIES, INC.
March 31, 1995 - April 20, 2000
UNITED SECURITIES ALLIANCE, INC.
January 1, 1993 - March 31, 1995
SENTRA SECURITIES CORPORATION
March 9, 1992 - December 31, 1992
PLANNED INVESTMENTS INC.
August 1, 1991 - March 9, 1992
SUNAMERICA SECURITIES, INC.
March 12, 1991 - August 5, 1991
SISUNG SECURITIES CORPORATION
April 3, 1989 - March 5, 1991
PFS INVESTMENTS 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
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
