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RM

Robert M. Marks

Some features on this profile are disabled
CRD#: 4198251
RM

Professional summary

Robert M Marks JR was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert M Marks JR was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 2000. Robert had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 23, 2011 - June 23, 2016

CAPE SECURITIES INC.

BD
CRD#: 7072
Coram, NY
Past

October 6, 2009 - October 6, 2011

SYNERGY INVESTMENT GROUP, LLC

BD
CRD#: 46035
ROCKY POINT, NY
Past

August 5, 2008 - October 26, 2009

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
ROCKY POINT, NY
Past

April 20, 2001 - August 4, 2008

MILESTONE FINANCIAL SERVICES, INC.

BD
CRD#: 43295
ROCKY POINT, NY
Past

June 13, 2000 - May 17, 2001

SEABOARD SECURITIES, INC.

BD
CRD#: 755
FLORHAM PARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/5/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/23/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/12/2000
General Securities Representative Examination

Current Firm

CS
CAPE SECURITIES INC.
CAPE SECURITIES INC.

CRD#: 7072 / SEC#: , 8-20747

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

Main Address
1600 Pennsylvania Avenue, Mcdonough, GA 30253
Mailing Address
1600 Pennsylvania Avenue, Mcdonough, GA 30253
Phone number
(678) 583-1120
Established
North Carolina since 02/23/1976
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BACHMANN, KEVIN SCOTTPRESIDENT1406637
CIANTRO, PHILIPCCO2350685
CIANTRO, PHILIPFINOP2350685
JOKELA, JOHN KEVINCOO5474831

Disclosures

Regulatory Event2
Arbitration1

Red Flags

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Company Information

CAPE SECURITIES INC.

CRD#: 7072

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