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RM

Robert A. Marx

NORTHERN LIGHTS DISTRIBUTORS
Elkhorn, NE 68022
Some features on this profile are disabled
CRD#: 4138723
RM

Professional summary

Robert Allen Marx, who also goes by Bob Marx, is a registered financial professional currently at NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2000. Robert has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Marx

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Allen Marx'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®
None

Experience

Current

August 3, 2016 - Present

NORTHERN LIGHTS DISTRIBUTORS, LLC

Office #1: 4221 North 203rd Street, Suite 100, Elkhorn, NE 68022
BD
CRD#: 126159
Elkhorn, NE
Past

March 14, 2012 - July 20, 2016

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
BOSTON, MA
Past

March 13, 2012 - December 31, 2014

ALLSPRING FUNDS MANAGEMENT, LLC

RIA
CRD#: 110841
BOSTON, MA
Past

August 20, 2010 - February 22, 2011

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
RANDOLPH, MA
Past

November 12, 2007 - August 17, 2010

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

April 19, 2000 - September 26, 2007

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

BD
CRD#: 487
CHARLOTTE, NC

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
(3/13/2019)
RR
Alaska
(5/21/2019)
RR
Arizona
(5/21/2019)
RR
California
(5/21/2019)
RR
Connecticut
(1/4/2019)
RR
Delaware
(3/13/2019)
RR
District of Columbia
(3/13/2019)
RR
Georgia
(3/13/2019)
RR
Hawaii
(5/21/2019)
RR
Idaho
(5/21/2019)
RR
Indiana
(1/4/2019)
RR
Iowa
(1/4/2019)
RR
Kentucky
(3/13/2019)
RR
Louisiana
(3/13/2019)
RR
Maine
(11/3/2017)
RR
Maryland
(3/13/2019)
RR
Massachusetts
(8/3/2016)
RR
Michigan
(3/13/2019)
RR
Minnesota
(11/3/2017)
RR
Mississippi
(3/13/2019)
RR
Montana
(5/21/2019)
RR
Nevada
(5/21/2019)
RR
New Hampshire
(11/3/2017)
RR
New Jersey
(11/3/2017)
RR
New Mexico
(5/21/2019)
RR
North Carolina
(3/13/2019)
RR
Ohio
(1/7/2019)
RR
Oregon
(5/21/2019)
RR
Rhode Island
(11/3/2017)
RR
South Carolina
(3/13/2019)
RR
Texas
(11/3/2017)
RR
Utah
(5/21/2019)
RR
Vermont
(11/3/2017)
RR
Virginia
(3/13/2019)
RR
Washington
(5/21/2019)
RR
West Virginia
(3/13/2019)
RR
Wyoming
(5/21/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/10/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/5/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/9/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/18/2000
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/8/2012
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NL
NORTHERN LIGHTS DISTRIBUTORS, LLC
AQUARIUS FUND DISTRIBUTORS, INC. | NORTHERN LIGHTS DISTRIBUTORS, LLC | AQUARIUS FUND DISTRIBUTORS, LLC

CRD#: 126159 / SEC#: , 8-65857

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
4221 North 203rd Street, Suite 100, Elkhorn, NE 68022
Mailing Address
4221 North 203rd Street, Suite 100, Elkhorn, NE 68022
Phone number
(855) 891-0091
Established
Nebraska since 12/31/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
THE ULTIMUS GROUP MIDCO, LLCSOLE MEMBER
EVANS, GREGORY ASHTONFINANCIAL OPERATIONS PRINCIPAL4850219
GUERETTE, KEVINPRESIDENT2960114
JAMES, DAVID KENNETHMANAGER6998721
PRESTON, STEPHEN LYNNCHIEF COMPLIANCE OFFICER/AML OFFICER2217795
STRAIT, WILLIAM JOHNSECRETARY/GENERAL COUNSEL/MANAGER6123015

Disclosures

Regulatory Event1

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

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159Elkhorn, NE 68022

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