John E. Marty

RB CAPITAL MANAGEMENT

Burlingame, CA 94010

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CRD#: 2822873

Professional summary

John Eugene Marty is a registered financial advisor currently at RB CAPITAL MANAGEMENT, LLC located in Burlingame, California and APW CAPITAL, INC. located in Burlingame, California.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. John has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.DM Enterprises, LP, Investment Related, Burlingame, CA, Financial Services & Fixed Insurance, Partner, 07/20005, 90% of time. 2. Invest Capital Group Mortgage; Address is the registered address; Residential and commercial real estate and financing; Start 2005; 5-10 hours/week during trading hours; Owner 3. Independent Real Estate Broker; Address is the registered location; Real Estate Brokerage; Start 4/2015; 5-10 hours/week during trading hours 4. RB Capital Management, Investment Related, RIA, Investment Advisor Rep, Burlingame, CA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Eugene Marty's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 1, 2016 - Present

RB CAPITAL MANAGEMENT, LLC

Office #1: 345 Lorton Avenue, Suite 302, Burlingame, CA 94010

RIA

CRD#: 125678

Burlingame, CA

Current

March 10, 2017 - Present

APW CAPITAL, INC.

Office #1: 345 Lorton Avenue, Suite 302, Burlingame, CA 94010

CRD#: 665

MINNEAPOLIS, MN

Past

December 2, 1996 - May 14, 1997

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

December 2, 1996 - May 14, 1997

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

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".

RB CAPITAL MANAGEMENT, LLC

JS WEALTH PLANNING | RB CAPITAL MANAGEMENT, LLC

CRD#: 125678 / SEC#: 801-62043

RIA

Registered Investment Advisory firm - (5/9/2003 Approved)

California

Registered Investment Advisory firm - (6/13/2003 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

IAR

California
(4/1/2016)

California
(3/10/2017)

Florida
(3/10/2017)

Idaho
(3/10/2017)

Michigan
(3/10/2017)

Montana
(3/27/2017)

Nevada
(5/1/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/12/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/29/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/6/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/29/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/27/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

RB CAPITAL MANAGEMENT, LLC

JS WEALTH PLANNING | RB CAPITAL MANAGEMENT, LLC

CRD#: 125678 / SEC#: 801-62043

RIA

Registered Investment Advisory firm - (5/9/2003 Approved)

California

Registered Investment Advisory firm - (6/13/2003 Terminated)

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Contact information

Main Address

5365 Reno Corporate Dr. Suite 200, Reno, NV 89511

Mailing Address

Phone number

(775) 993-2900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE DOCUMENT FOR CLIENTS NOT PARTICIPATING IN THE WRAP PROGRAM (3/27/2025)

DISCLOSURE DOCUMENT FOR CLIENTS PARTICIPATING IN THE WRAP PROGRAM (3/25/2025)

Regulatory assets under management

Total Number of Accounts	1,382
AUM (Assets Under Management)	$ 817,220,998

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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Firm Stability Insights

John E. Marty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Eugene Marty's CRS (Customer Relationship Summary).

Certified licenses

Experience

APW CAPITAL, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

CETERA ADVISORS LLC

CETERA ADVISORS LLC

RB CAPITAL MANAGEMENT, LLC

SLOAN SECURITIES CORP.

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

PIPER SANDLER & CO.

PIPER SANDLER & CO.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

RB CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/12/1997

Series 63

Date: 11/29/1996

SIE

Date: 10/1/2018

Series 7

Date: 5/6/1997

Series 6

Date: 11/29/1996

Series 24

Date: 10/27/2005

FINRA

Current Firm

RB CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RB CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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