AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MS

Marvin A. Shochet

Some features on this profile are disabled
CRD#: 422412
MS

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.

Marvin Adolph Shochet was a registered financial professional .

Marvin is a previously registered financial professional and started their career in finance in 1970. Marvin had worked at 13 firms and has passed the Series 63, Series 27, Series 53, Series 24, Series 4 and Series 00 exams.

top-8-questions

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

March 5, 2002 - April 19, 2002

SANDS BROTHERS & CO., LTD.

BD
CRD#: 26816
NEW YORK, NY
Past

August 31, 2001 - November 26, 2001

BLUESTONE CAPITAL CORP.

BD
CRD#: 13516
NEW YORK, NY
Past

January 16, 1987 - August 31, 2001

SSI SECURITIES CORP.

BD
CRD#: 8275
BOCA RATON, FL
Past

August 4, 1980 - December 19, 1986

SSI SECURITIES CORP.

BD
CRD#: 8275
Past

November 26, 1979 - August 18, 1980

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

January 18, 1978 - November 26, 1979

LOEB PARTNERS

BD
CRD#: 7534
Past

January 4, 1977 - January 18, 1978

LOEB RHOADES & CO. INC.

BD
CRD#: 7502
Past

September 30, 1976 - January 4, 1977

LOEB, RHOADES & CO. INC.

BD
CRD#: 525
Past

November 11, 1974 - November 22, 1976

SHEARSON HAYDEN STONE INC.

BD
CRD#: 6774
Past

July 19, 1973 - December 7, 1974

BACHE & CO INCORPORATED

BD
CRD#: 7058
Past

April 16, 1973 - August 19, 1973

LOEB, RHOADES & CO. INC.

BD
CRD#: 525
Past

March 25, 1971 - April 27, 1973

REYNOLDS SECURITIES, INC.

BD
CRD#: 712
Past

January 25, 1971 - April 1, 1971

THOMSON MCKINNON & AUCHINCLOSS INC

BD
CRD#: 1000005
Past

September 17, 1970 - January 22, 1971

RADINE SECURITIES

BD
CRD#: 5362
Past

August 6, 1970 - March 1, 1973

SECURITY BROKERS ASSOCIATES, INCORPORATED

BD
CRD#: 865

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: 7/15/1981
Uniform Securities Agent State Law Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/10/1981
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/16/1980
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/27/1980
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/21/1980
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 00
Date: 8/15/1970
General Securities Principal Examination

Current Firm

SB
SANDS BROTHERS & CO., LTD.
SANDS BROTHERS & CO., LTD. | SHOCKET SECURITIES, A DIVISION OF SANDS BROTHERS & CO., LTD. | SANDS BROTHERS MITCHELL & CO., LIMITED

CRD#: 26816 / SEC#: , 8-42740

BD
Terminated by SEC on 12/21/2004
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/16/1990
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SANDS, MARTIN SCOTTCO-OWNER1186904
SANDS, STEVEN BRETTCHAIRMAN & SECRETARY730742
BENDELAC, ROGER EMILEPRESIDENT715445

Disclosures

Regulatory Event17
Arbitration16

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

SANDS BROTHERS & CO., LTD.

CRD#: 26816

TRUST BUT VERIFY

Monitor Marvin Shochet

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.