MC
Marla D. Cox
U.S. BANCORP INVESTMENTS
Des Moines, IA 50309
Some features on this profile are disabled
CRD#: 2645543
MC
Professional summary
Marla Dee Cox, who also goes by Marla Parker, is a registered financial advisor currently at U.S. BANCORP INVESTMENTS, INC. located in Des Moines, Iowa.
Marla is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Marla has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marla Parker
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.
1) Community of Christ; Not Investment-Related; West Des Moines, IA; Pastor, (shephard) of congregation; Pastor with 2 counselors; 01/01/2021; 30 hours/month; 0 hours/trading; Pastor, (shephard) of congregation. Includes but not limited to facilitating worship, providing ministry where needed, leading business meetings, committees. 2) Made with <3 by Marla; Not Investment-Related; Altona, IA; Yam goods and or cheesecakes; Owner; 01/01/2021; 20 hours/week; 0 hours/trading; Creating one of a kind yarn goods for sale as requested and homemade cheesecakes. 3) Young Living Oils; not investment-related; Altoona, IA; healthy oils; Owner; 4/25/2017; 5 hours/month; 0 hours/trading; purchasing healthy oils for personal use, acting as distributor.
CRS (Client Relationship Summary) - RIA
Click below to view Marla Dee Cox's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marla Dee Cox'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 31, 2006 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 520 Walnut St, Des Moines, IA 50309Office #2: 111 8th St Se, Altoona, IA 50009Office #3: 3529 Ingersoll Ave, Des Moines, IA 50312Office #4: 4515 Fleur Dr `, Des Moines, IA 50321Office #5: 4045 Merle Hay Rd, Des Moines, IA 50310Office #6: 2500 E Euclid Ave, Des Moines, IA 50317Office #7: 3738 Westown Pkwy, West Des Moines, IA 50266RIA
BD
CRD#: 17868
Des Moines, IA
Current
December 1, 2001 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 520 Walnut St, Des Moines, IA 50309Office #2: 111 8th St Se, Altoona, IA 50009Office #3: 3529 Ingersoll Ave, Des Moines, IA 50312Office #4: 4515 Fleur Dr `, Des Moines, IA 50321Office #5: 4045 Merle Hay Rd, Des Moines, IA 50310Office #6: 2500 E Euclid Ave, Des Moines, IA 50317Office #7: 3738 Westown Pkwy, West Des Moines, IA 50266RIA
BD
CRD#: 17868
Des Moines, IA
Past
September 18, 1995 - December 1, 2001
FIRSTAR INVESTMENT SERVICES,INC.
BD
CRD#: 14536
MORRIS PLAINS, NJ
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".
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(1/2/2009)
RR
Arizona(12/1/2001)
RR
Arkansas(7/13/2006)
RR
California(12/1/2001)
RR
Colorado(12/1/2001)
RR
District of Columbia(11/28/2017)
RR
Florida(12/1/2001)
RR
Georgia(1/28/2016)
RR
Hawaii(11/30/2023)
RR
Illinois(12/1/2001)
RR
Indiana(12/1/2001)
RR
Iowa(12/1/2001)
IAR
Iowa(3/31/2006)
RR
Kansas(4/1/2004)
RR
Minnesota(12/1/2001)
RR
Missouri(12/19/2002)
RR
Nebraska(12/1/2001)
RR
Nevada(8/27/2018)
RR
New Mexico(5/30/2002)
RR
New York(5/30/2025)
RR
North Carolina(6/4/2021)
RR
Oregon(5/30/2024)
RR
South Dakota(5/19/2008)
RR
Tennessee(5/17/2022)
RR
Texas(10/28/2009)
RR
Virginia(2/7/2014)
RR
Washington(6/9/2022)
RR
Wisconsin(12/1/2001)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Mailing Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Phone number
(800) 888-4700
Established
Delaware since 02/25/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
2,152
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | PARENT CORPORATION | |
| AHMAD, MASOOD | SENIOR VICE PRESIDENT, OPERATIONS MANAGER | 7887624 |
| BEJASA, EILEEN | DIRECTOR | 7002808 |
| CLARK, SHANNON KEITH | DIRECTOR AND CHIEF FINANCIAL OFFICER | 5829700 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4120145 |
| FLOUM, JOEL IRA | DIRECTOR | 2405754 |
| LAWLOR, BETH D | DIRECTOR | 5352662 |
| MCCARTHY, MATTHEW RYAN | CHIEF LEGAL OFFICER | 6818984 |
| MOLLOY, JOHN WILLIAM JR. | DIRECTOR | 1939358 |
| ROLLAND, JODI THOMPSON | DIRECTOR | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER, DIRECTOR | 5025315 |
| STEGEMEYER, STEPHEN KYLE | DIRECTOR | 2793064 |
| STEINER, STEPHEN WARD | CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT AND DIRECTOR | 2259345 |
| WHANG, JAMES | DIRECTOR | 2737019 |
Regulatory assets under management
| Total Number of Accounts | 66,996 |
| AUM (Assets Under Management) | $ 19,296,734,956 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2024 | ||
| 11/21/2023 |
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.
Company Information
U.S. BANCORP INVESTMENTS, INC.
CRD#: 17868Des Moines, IA 50309TRUST BUT VERIFY
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