John Marion

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CRD#: 2405014

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.

John Marion, CFA, who also goes by John Stuart Marion, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1994. John had worked at 5 firms and has passed the Series 63, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John Stuart Marion

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFA

Chartered Financial Analyst

Experience

Past

September 25, 2009 - July 1, 2016

HOWARD CAPITAL MANAGEMENT, INC.

RIA

CRD#: 118070

ROSWELL, GA

Past

January 30, 2001 - August 6, 2009

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

May 15, 1996 - February 26, 1999

JPMSI

CRD#: 15733

NEW YORK, NY

Past

May 18, 1994 - March 19, 1996

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

March 2, 1994 - April 20, 1994

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HOWARD CAPITAL MANAGEMENT, INC.

CRD#: 118070 / SEC#: 801-69763

RIA

Registered Investment Advisory firm - (12/15/2008 Approved)

Georgia

Registered Investment Advisory firm - (1/9/2009 Terminated)

Texas

Registered Investment Advisory firm - (12/15/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/8/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/1/1994

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/20/1993

National Commodity Futures Examination

Current Firm

HOWARD CAPITAL MANAGEMENT, INC.

CRD#: 118070 / SEC#: 801-69763

RIA

Registered Investment Advisory firm - (12/15/2008 Approved)

Georgia

Registered Investment Advisory firm - (1/9/2009 Terminated)

Texas

Registered Investment Advisory firm - (12/15/2008 Terminated)

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Contact information

Main Address

1145 Hembree Rd., Roswell, GA 30076

Mailing Address

Phone number

(770) 642-4902

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HOWARD CAPITAL MANAGEMENT, INC. ADV BROCHURE (9/8/2025)

Regulatory assets under management

Total Number of Accounts	14,684
AUM (Assets Under Management)	$ 6,866,502,932

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.

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John Marion

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HOWARD CAPITAL MANAGEMENT, INC.

UBS SECURITIES LLC

JPMSI

SALOMON BROTHERS INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

HOWARD CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/8/1994

Series 7

Date: 3/1/1994

Series 3

Date: 10/20/1993

Current Firm

HOWARD CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HOWARD CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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