Stanley A. Marks
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.
Stanley Albert Marks was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1965. Stanley had worked at 8 firms and has passed the Series 66, Series 63, PC 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 24, 2014 - June 2, 2016
P.F. ROBERTS & ASSOCIATES
February 3, 2004 - October 1, 2013
FIRST AMERICAN CAPITAL AND TRADING CORPORATION
April 17, 2001 - February 11, 2004
SHEARSON FINANCIAL SERVICES, LLC
August 24, 2000 - April 19, 2001
GRUNTAL & CO., L.L.C.
November 5, 1998 - August 28, 2000
HERZOG, HEINE, GEDULD, LLC
May 10, 1979 - November 9, 1998
KALB, VOORHIS & CO., LLC
June 28, 1973 - June 7, 1979
HAMERSHLAG, DODELES & CO., LLC
June 7, 1965 - July 5, 1973
STANLEY MARKS & CO
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
PC
Date: 10/26/1979
AMEX Put and Call ExamCurrent Firm
P.F. ROBERTS & ASSOCIATES
CRD#: 151711 / SEC#: 801-70664
Contact information
Regulatory assets under management
| Total Number of Accounts | 71 |
| AUM (Assets Under Management) | $ 73,984,617 |
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.
