Geoff G. Marshall
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.
Geoff Guy Marshall was a registered financial professional .
Geoff is a previously registered financial professional and started their career in finance in 1993. Geoff had worked at 4 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 6 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
November 1, 2021 - October 11, 2024
IOI CAPITAL AND MARKETS, LLC
August 13, 2009 - May 17, 2021
EATON VANCE MANAGEMENT
November 1, 1996 - May 17, 2021
EATON VANCE DISTRIBUTORS, INC.
August 19, 1993 - November 1, 1996
EATON VANCE DISTRIBUTORS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
IOI CAPITAL AND MARKETS, LLC
CRD#: 290944 / SEC#: , 8-70045
Contact information
Documents
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.
