Marshall J. Shanklin
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.
Marshall Johnson Shanklin III, who also goes by Marshall Shanklin, Trey Shanklin III, was a registered financial professional .
Marshall is a previously registered financial professional and started their career in finance in 1998. Marshall had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2018 - November 2, 2018
MUTUAL SECURITIES, INC.
November 18, 2016 - January 2, 2018
WORLD EQUITY GROUP, INC.
April 25, 2014 - May 4, 2015
WORLD EQUITY GROUP, INC.
April 25, 2014 - May 4, 2015
WORLD EQUITY GROUP, INC.
August 14, 2008 - March 14, 2014
LPL FINANCIAL LLC
August 14, 2008 - March 14, 2014
LPL FINANCIAL LLC
January 29, 2008 - December 31, 2008
ARROWHEAD FINANCIAL SERVICES
August 20, 2005 - November 29, 2006
BOFA DISTRIBUTORS, INC.
May 9, 2005 - November 29, 2006
BOFA ADVISORS, LLC
May 9, 2005 - August 20, 2005
BACAP DISTRIBUTORS, LLC
January 30, 2004 - April 5, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 25, 2003 - April 5, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 5, 2001 - May 16, 2003
BBVA COMPASS INVESTMENT SOLUTIONS, INC
September 23, 1998 - January 22, 2001
BANC ONE SECURITIES CORPORATION
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
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
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.
