Jeffrey M. Marshall
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.
Jeffrey Michael Marshall, who also goes by Jeff Marshall, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1997. Jeffrey had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2017 - September 10, 2018
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
November 14, 2017 - September 10, 2018
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
July 20, 2007 - January 29, 2016
CITY NATIONAL SECURITIES, INC.
May 17, 2007 - October 31, 2016
CONVERGENT WEALTH ADVISORS, LLC
June 21, 2004 - May 1, 2007
FORTIGENT SECURITIES COMPANY, LLC.
May 26, 2004 - July 9, 2007
WINDERMERE INVESTMENT ASSOCIATES, LLC
September 18, 2003 - May 28, 2004
WINDERMERE INVESTMENT ASSOCIATES INC
December 7, 2000 - March 11, 2003
SANFORD C. BERNSTEIN & CO., LLC
February 18, 1997 - December 7, 2000
SANFORD C. BERNSTEIN & CO., INC.
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
Current Firm
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
CRD#: 1254 / SEC#: 801-67179, 8-2915
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
