James A. Marks

CITIZENS PRIVATE WEALTH

Pittsburgh, PA 15222

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CRD#: 4632848

Professional summary

James Arvid Marks JR., CFP®, who also goes by L.j. A Marks, is a registered financial advisor currently at CITIZENS PRIVATE WEALTH located in Pittsburgh, Pennsylvania and CITIZENS SECURITIES, INC. located in Pittsburgh, Pennsylvania.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. James has worked at 4 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 11 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

L.j. A Marks

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.

Women's Center & Shelter of Greater Pittsburgh - Finance & Investment Committee Member. Review financials and investment performance; zero compensation; 0.5 hours monthly; start date: March 2020.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Arvid Marks JR.'s CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Current

August 15, 2019 - Present

CITIZENS PRIVATE WEALTH

Office #1: 444 Liberty Avenue 19th Floor, Pittsburgh, PA, 15222

RIA

CRD#: 106743

Pittsburgh, PA

Current

October 17, 2024 - Present

CITIZENS SECURITIES, INC.

Office #1: 444 Liberty Avenue 19th Floor, Pittsburgh, PA, 15222

RIA

CRD#: 39550

PITTSBURGH, PA

Current

February 7, 2025 - Present

CITIZENS SECURITIES, INC.

Office #1: 444 Liberty Avenue 19th Floor, Pittsburgh, PA, 15222

RIA

CRD#: 39550

PITTSBURGH, PA

Past

June 2, 2016 - January 8, 2020

CITIZENS SECURITIES, INC.

CRD#: 39550

PITTSBURGH, PA

Past

March 8, 2013 - January 8, 2020

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

PITTSBURGH, PA

Past

July 2, 2007 - April 7, 2010

BNY MELLON SECURITIES CORPORATION

RIA

CRD#: 231

PITTSBURGH, PA

Past

July 2, 2007 - April 7, 2010

BNY MELLON SECURITIES CORPORATION

CRD#: 231

PITTSBURGH, PA

Past

April 10, 2006 - July 2, 2007

MBSC, LLC

RIA

CRD#: 42430

PITTSBURGH, PA

Past

March 12, 2003 - July 2, 2007

MBSC, LLC

CRD#: 42430

PITTSBURGH, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CITIZENS PRIVATE WEALTH

CRD#: 106743 / SEC#: 801-40835

RIA

Registered Investment Advisory firm - (2/20/1992 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

IAR

California
(5/7/2025)

California
(5/16/2025)

Florida
(5/8/2025)

IAR

Florida
(5/8/2025)

IAR

Maryland
(5/7/2025)

Maryland
(5/23/2025)

IAR

Michigan
(5/7/2025)

Michigan
(5/20/2025)

IAR

New York
(5/7/2025)

New York
(5/27/2025)

IAR

North Carolina
(5/7/2025)

North Carolina
(5/22/2025)

IAR

Ohio
(5/8/2025)

Ohio
(5/17/2025)

IAR

Pennsylvania
(8/15/2019)

Pennsylvania
(5/20/2025)

IAR

South Carolina
(5/7/2025)

South Carolina
(5/21/2025)

IAR

Texas
(5/7/2025)

Texas
(5/17/2025)

IAR

Utah
(5/8/2025)

Utah
(5/19/2025)

IAR

Virginia
(5/7/2025)

Virginia
(5/27/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/16/2025

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/25/2016

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/7/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/2/2016

General Securities Representative Examination

General Industry/Product Exam

Series 11

Date: 3/10/2003

Assistant Representative-Order Processing Qualification Exam

SRO Registrations

FINRA

Current Firm

CITIZENS PRIVATE WEALTH

CRD#: 106743 / SEC#: 801-40835

RIA

Registered Investment Advisory firm - (2/20/1992 Approved)

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Contact information

Main Address

520 White Plains Road 3rd Floor, Tarrytown, NY 10591

Mailing Address

Phone number

(914) 846-0100

Established

Firm type

Fiscal year end

# of Employees

200

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	7,846
AUM (Assets Under Management)	$ 12,182,945,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2025	Cover Page	Report
07/28/2023	Cover Page	Report
10/28/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

James A. Marks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Arvid Marks JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION

MBSC, LLC

MBSC, LLC

Primary Firm SEC Registration

CITIZENS PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 63

Date: 5/16/2025

Series 66

Date: 10/25/2016

Series 7TO

Date: 2/7/2025

SIE

Date: 10/1/2018

Series 7

Date: 6/2/2016

Series 11

Date: 3/10/2003

FINRA

Current Firm

CITIZENS PRIVATE WEALTH

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CITIZENS PRIVATE WEALTH

TRUST BUT VERIFY

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