Marv Kaye
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.
Marv Kaye, who also goes by Marv E. Kaye, Marv Earl Kaye, Marvyn Earl Kaye, was a registered financial professional .
Marv is a previously registered financial professional and started their career in finance in 1969. Marv had worked at 9 firms and has passed the Series 63, SIE, Series 1 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
January 3, 2012 - July 14, 2017
MUTUAL SECURITIES, INC.
January 13, 2011 - July 7, 2020
KAYE CAPITAL MANAGEMENT
July 8, 1997 - January 24, 2011
OSAIC WEALTH, INC.
May 14, 1992 - November 15, 2002
1717 CAPITAL MANAGEMENT COMPANY
April 22, 1992 - January 19, 2012
OSAIC WEALTH, INC.
July 14, 1983 - April 29, 1992
CETERA WEALTH SERVICES, LLC
January 29, 1982 - July 7, 1983
FSC SECURITIES CORPORATION
April 12, 1978 - July 10, 1981
INDEPENDENT FINANCIAL PLANNERS CORPORATION
June 15, 1973 - October 30, 1980
INDEPENDENT SECURITIES CORPORATION
June 27, 1969 - June 15, 1973
EQUITY FUNDING 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
Series 1
Date: 10/17/1968
Registered Representative ExaminationCurrent 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.
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