Robert A. Marlow
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.
Robert Allen Marlow, who also goes by Bob Marlow, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 17 firms and has passed the Series 63, Series 7TO, 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
May 31, 2002 - August 24, 2023
LPL FINANCIAL LLC
January 4, 1999 - June 4, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 9, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
May 10, 1990 - June 15, 1998
EDWARD JONES
September 8, 1989 - May 31, 1990
MORGAN STANLEY DW INC.
August 25, 1989 - October 12, 1989
PRUDENTIAL EQUITY GROUP, LLC
October 22, 1988 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
March 9, 1988 - August 12, 1991
WEDBUSH SECURITIES INC.
April 10, 1987 - December 24, 1987
MEYERS SECURITIES CORPORATION
September 11, 1985 - April 7, 1987
MCKEWON & TIMMINS
March 9, 1983 - September 13, 1985
E. F. HUTTON & COMPANY INC
July 14, 1982 - March 21, 1983
MONTGOMERY SECURITIES
March 18, 1981 - July 15, 1982
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
January 31, 1979 - March 13, 1981
BECKER PARIBAS INCORPORATED
May 5, 1978 - February 5, 1979
DAIN RAUSCHER INCORPORATED
January 13, 1971 - May 5, 1978
DAIN, KALMAN & QUAIL, INCORPORATED
January 2, 1970 - January 28, 1971
ADVEST, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 12/11/1969
Registered Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
