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Eric Vinson Marley

CRD# 2823365·Registered 1997 - 2015
Previously Registered: Being a previously registered professional could mean that Eric 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.

Professional Summary

Eric Vinson Marley was a registered financial advisor. Eric was a previously registered financial advisor and started their career in finance 1997 - 2015. Eric had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 55, Series 3, Series 7, Series 4, Series 24, Series 27 and Series 53 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

29 years in the financial services industry

Current & Past Employments

REALTY CAPITAL SECURITIES, LLC·CRD# 145454
BD
Dallas, TX
August 7, 2014 - December 8, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC·CRD# 20472
BD
Lewisville, TX
April 29, 2011 - August 1, 2014
GROVE POINT INVESTMENTS, LLC·CRD# 1763
BD
Dallas, TX
June 3, 2009 - December 22, 2009
VANTAGE CAPITAL MANAGEMENT, LLC·CRD# 116499
RIA
Dallas, TX
April 17, 2006 - January 12, 2007
TRANSCEND CAPITAL·CRD# 104483
BD
Austin, TX
January 12, 2006 - August 15, 2007
NASDAQ EXECUTION SERVICES, LLC·CRD# 7270
BD
Philadelphia, PA
October 12, 2000 - August 22, 2002
WFG INVESTMENTS, INC.·CRD# 22704
BD
Dallas, TX
June 1, 2000 - September 6, 2000
AVANTAX INVESTMENT SERVICES, INC.·CRD# 13686
BD
Dallas, TX
May 19, 1997 - December 14, 1998

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Current Firm

RC
REALTY CAPITAL SECURITIES, LLC

RC SECURITIES | REALTY CAPITAL SECURITIES, LLC

CRD#: 145454 / SEC#: 8-67727
BD
Terminated by SEC on 03/22/2016

Contact Information

Established

Delaware since 08/29/2007

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
RCS CAPITAL HOLDINGS, LLCMEMBER—
BEATON, DANIEL STEWARTFINOP4240769
ROUND, JENNIFER MARIECOO4192006
SHUCKEROW, MICHAEL JOSEPH JR.CHIEF COMPLIANCE OFFICER5159095

Disclosures

Regulatory Event

3

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 2006About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Oct 1997About the Series 65 exam

SIE — Securities Industry Essentials Examination

Passed Dec 2015About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Apr 2006

Series 3 — National Commodity Futures Examination

Passed Mar 2006About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Jan 2006About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Feb 2006About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Feb 2006About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Feb 1998About the Series 27 exam

Series 53 — Municipal Securities Principal Examination

Passed Sep 1997About the Series 53 exam

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CRS (Client Relationship Summary)

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

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