MM
Marlin K. Medlock
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS
Boston, MA 02114
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CRD#: 3221195
MM
Professional summary
Marlin Keith Medlock, AIF®, CIMA®, who also goes by Keith Medlock, is a registered financial professional currently at STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC located in Boston, Massachusetts.
Marlin is registered as a RR (Registered Representative) and started their career in finance in 1999. Marlin has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Keith Medlock
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.
CRS (Client Relationship Summary) - BD
Click below to view Marlin Keith Medlock's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
July 26, 2013 - Present
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
Office #1: One Congress Street, Boston, MA 02114BD
CRD#: 30107
Boston, MA
Past
October 11, 2011 - July 16, 2013
NORTHERN TRUST SECURITIES, INC.
BD
CRD#: 7927
ATLANTA, GA
Past
February 25, 2010 - September 21, 2011
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ATLANTA, GA
Past
February 24, 2010 - September 21, 2011
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ATLANTA, GA
Past
May 24, 2007 - April 20, 2009
RUSSELL INVESTMENTS
RIA
CRD#: 105734
JUPITER, FL
Past
May 22, 2007 - April 20, 2009
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
BD
CRD#: 21771
WEST PALM BEACH, FL
Past
December 12, 2003 - May 15, 2007
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
PALM BEACH, FL
Past
January 16, 2003 - December 10, 2003
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
PALM BEACH, FL
Past
August 14, 2000 - May 15, 2007
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 16, 1999 - August 14, 2000
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/26/2013)
RR
Alaska(7/26/2013)
RR
Arizona(7/26/2013)
RR
Arkansas(7/26/2013)
RR
California(7/26/2013)
RR
Colorado(7/26/2013)
RR
Connecticut(7/26/2013)
RR
Delaware(7/26/2013)
RR
District of Columbia(7/26/2013)
RR
Florida(7/26/2013)
RR
Georgia(7/26/2013)
RR
Hawaii(7/26/2013)
RR
Idaho(7/26/2013)
RR
Illinois(7/26/2013)
RR
Indiana(7/26/2013)
RR
Iowa(7/26/2013)
RR
Kansas(7/26/2013)
RR
Kentucky(7/26/2013)
RR
Louisiana(7/26/2013)
RR
Maine(7/26/2013)
RR
Maryland(7/26/2013)
RR
Massachusetts(7/26/2013)
RR
Michigan(7/26/2013)
RR
Minnesota(7/26/2013)
RR
Mississippi(7/26/2013)
RR
Missouri(7/26/2013)
RR
Montana(7/26/2013)
RR
Nebraska(7/26/2013)
RR
Nevada(7/26/2013)
RR
New Hampshire(7/26/2013)
RR
New Jersey(7/26/2013)
RR
New Mexico(7/26/2013)
RR
New York(7/26/2013)
RR
North Carolina(7/26/2013)
RR
North Dakota(7/26/2013)
RR
Ohio(7/26/2013)
RR
Oklahoma(7/26/2013)
RR
Oregon(7/26/2013)
RR
Pennsylvania(7/26/2013)
RR
Puerto Rico(7/26/2013)
RR
Rhode Island(7/26/2013)
RR
South Carolina(7/26/2013)
RR
South Dakota(7/26/2013)
RR
Tennessee(7/26/2013)
RR
Texas(7/26/2013)
RR
Utah(7/26/2013)
RR
Vermont(7/26/2013)
RR
Virginia(7/26/2013)
RR
Washington(7/26/2013)
RR
West Virginia(7/26/2013)
RR
Wisconsin(7/26/2013)
RR
Wyoming(7/26/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
STATE STREET BROKERAGE SERVICES, INC. | STATE STREET GLOBAL MARKETS, LLC | STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC | STATE STREET CAPITAL MARKETS, LLC
CRD#: 30107 / SEC#: , 8-44744
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Congress Street, Boston, MA 02114
Mailing Address
One Congress Street, Boston, MA 02114
Phone number
(617) 664-3619
Established
Delaware since 03/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET GLOBAL ADVISORS, INC. | PARENT CORPORATION | |
| ALBERICI, MARK F | DIRECTOR | 3223458 |
| AMOA, APEAWUSU K | DIRECTOR | 7711546 |
| BONDS MAZZA, ALLISON HATHHORN | PRESIDENT AND DIRECTOR | 4439495 |
| CORBETT, TIMOTHY PAUL | DIRECTOR | |
| FERRARELLI, JAMES | DIRECTOR | 6961735 |
| LAPORTA, JEANNE MARIE | DIRECTOR & CHAIRWOMAN | 5946908 |
| TENORIO, EDITHA V | CHIEF FINANCIAL OFFICER | 6755490 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
| TUCKER, JOHN A | DIRECTOR | 7000761 |
Disclosures
| Regulatory Event | 17 |
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.
Company Information
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
CRD#: 30107Boston, MA 02114TRUST BUT VERIFY
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