Jules L. Marx
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.
Jules Leon Marx was a registered financial professional .
Jules is a previously registered financial professional and started their career in finance in 1973. Jules had worked at 17 firms and has passed the Series 63, Series 7, 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
November 5, 1999 - October 2, 2003
WHARTON CAPITAL MARKETS LLC
May 18, 1999 - November 28, 1999
FAB SECURITIES OF AMERICA, INC.
December 3, 1997 - February 22, 1999
STARR SECURITIES, INC.
November 21, 1996 - September 16, 1997
RICKEL & ASSOCIATES, INC.
September 10, 1993 - October 23, 1996
AUGMENT SECURITIES INC.
January 31, 1992 - June 10, 1993
JOSEPHTHAL & CO., INC.
December 24, 1991 - February 4, 1992
GRUNTAL & CO., L.L.C.
May 9, 1988 - October 24, 1988
R.C. STAMM & CO., INC.
June 3, 1987 - November 10, 1987
JSC SECURITIES, INC.
June 26, 1985 - May 20, 1987
D. H. BLAIR & CO., INC.
July 27, 1983 - July 3, 1985
BLUESTONE CAPITAL CORP.
October 13, 1981 - July 5, 1983
KUHNS BROTHERS & LAIDLAW, INC.
March 3, 1980 - October 20, 1981
JOHN MUIR & CO.
May 23, 1979 - September 30, 1979
LEHMAN BROTHERS INC.
September 2, 1977 - April 29, 1979
CIBC WORLD MARKETS CORP.
March 25, 1976 - September 12, 1977
SHIELDS MODEL ROLAND INCORPORATED
January 23, 1973 - April 17, 1976
J.P. MORGAN SECURITIES LLC
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 1
Date: 1/18/1973
Registered Representative ExaminationCurrent Firm
WHARTON CAPITAL MARKETS LLC
CRD#: 44632 / SEC#: , 8-50755
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
