Thomas Robert Marks
Professional Summary
Thomas Robert Marks is a registered financial advisor currently at PACIFIC SELECT DISTRIBUTORS, LLC located in Newport Beach, California. Thomas is registered as a RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
THREE ARCH WEALTH MANAGEMENT LLC
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
FALCON WEALTH PLANNING, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
THREE ARCH WEALTH MANAGEMENT LLC
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
FALCON WEALTH PLANNING, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
THREE ARCH WEALTH MANAGEMENT LLC
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
FALCON WEALTH PLANNING, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
THREE ARCH WEALTH MANAGEMENT LLC
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
FALCON WEALTH PLANNING, LLC
Years of Experience
26 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
THREE ARCH WEALTH MANAGEMENT LLC
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
FALCON WEALTH PLANNING, LLC
Current Firm
PACIFIC EQUITY SALES COMPANY | PACIFIC SELECT DISTRIBUTORS, LLC | PACIFIC SELECT DISTRIBUTORS, INC. | PACIFIC SECURITIES | PACIFIC MUTUAL DISTRIBUTORS, INC. | PACIFIC MUTUAL DISTRIBURTORS, INC.
Contact Information
Main Address
700 Newport Center Drive, Newport Beach, CA 92660-6397Mailing Address
700 Newport Center Drive, Newport Beach, CA 92660-6397Phone Number
(949) 219-6579Established
Delaware since 01/01/2015Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC LIFE INSURANCE COMPANY | PARENT OF APPLICANT | — |
| DARE, BARBARA ALYCE | VICE PRESIDENT | 5074108 |
| KISSEL, GEOFFREY P | CHIEF EXECUTIVE OFFICER | 7499710 |
| LA ROQUE, SUZANNE MARIE | ASSISTANT VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4222767 |
| SMITH, TREVOR TIMOTHY | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATING OFFICER | 4844953 |
| YAMAUCHI, STARLA CHIN | VICE PRESIDENT, CORPORATE SECRETARY | 7721024 |
Similar Advisors
THREE ARCH WEALTH MANAGEMENT LLC
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
FALCON WEALTH PLANNING, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
THREE ARCH WEALTH MANAGEMENT LLC
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
FALCON WEALTH PLANNING, LLC
State Registrations and Notice Filings
(1/24/2005)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
THREE ARCH WEALTH MANAGEMENT LLC
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
FALCON WEALTH PLANNING, LLC
CRS (Client Relationship Summary) - BD
Click below to view Thomas Robert Marks's CRS (Customer Relationship Summary).
Similar Advisors
THREE ARCH WEALTH MANAGEMENT LLC
LPL FINANCIAL LLC
PARK AVENUE SECURITIES LLC
FALCON WEALTH PLANNING, LLC