Vesta Marks
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.
Vesta Marks, CFA, who also goes by Vesta Unsilme Marks, was a registered financial professional .
Vesta is a previously registered financial professional and started their career in finance in 2001. Vesta had worked at 4 firms and has passed the Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2010 - January 8, 2015
SEMPER CAPITAL MANAGEMENT, L.P.
June 28, 2002 - September 26, 2002
NEXTRADE
August 24, 2001 - October 26, 2001
IDS LIFE INSURANCE COMPANY
August 24, 2001 - October 26, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 7/6/2002
Limited Representative-Equity Trader ExamCurrent Firm
SEMPER CAPITAL MANAGEMENT, L.P.
CRD#: 106297 / SEC#: 801-42753
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 15 |
| AUM (Assets Under Management) | $ 964,193,034 |
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.
