CM
Casey E. Marks
FORONJY FINANCIAL
SANTA BARBARA, CA 93101
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CRD#: 4748267
CM
Professional summary
Casey Elsworth Marks is a registered financial advisor currently at FORONJY FINANCIAL located in Santa Barbara, California.
Casey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Casey has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. 05/17/2018 - NOTARY/ NOTARY/ 0%/ SANTA BARBARA, CA 2. 05/17/2018 - FORONJY FINANCIAL/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 99%/ SANTA BARBARA, CA 3. 05/23/2023 - Mariner Independent Advisor Network - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 03/31/2023 - 160 Hours Per Month/ 160 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Mariner Independent Advisor Network LLC an independent investment advisor firm. I started this business activity in 5/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, nature of its business, its owners and its services at http://www.adviserinfo.sec.gov/IAPD. This firm is separate and independent of LPL Financial. 4. Member of the SAG-AFTRA but not currently working in the business.
CRS (Client Relationship Summary) - RIA
Click below to view Casey Elsworth Marks'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®
NoneExperience
Current
October 7, 2024 - Present
FORONJY FINANCIAL
Office #1: 401 Chapala Street Suite 105, Santa Barbara, CA 93101RIA
CRD#: 332380
SANTA BARBARA, CA
Past
May 18, 2018 - October 7, 2024
MARINER ADVISOR NETWORK
RIA
CRD#: 283824
Santa Barbara, CA
Past
May 17, 2018 - September 27, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN LUIS OBISPO, CA
Past
June 16, 2009 - June 18, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
SANTA BARBARA, CA
Past
June 19, 2007 - June 13, 2018
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SANTA BARBARA, CA
Past
October 27, 2006 - May 11, 2007
ALLIANCE WARBURG GLOBAL FINANCIAL SERVICES, INC.
BD
CRD#: 43979
LOS ANGELES, CA
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".
FF
FORONJY FINANCIAL
FORONJY FINANCIAL | FORONJY FINANCIAL LLC
CRD#: 332380 / SEC#: 801-130928
RIA
Registered Investment Advisory firm - (8/16/2024 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.Highlighted states indicate IAR registrations
IAR
California(10/7/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FF
FORONJY FINANCIAL
FORONJY FINANCIAL | FORONJY FINANCIAL LLC
CRD#: 332380 / SEC#: 801-130928
RIA
Registered Investment Advisory firm - (8/16/2024 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
401 Chapala Street Suite 105, Santa Barbara, CA 93101
Mailing Address
Phone number
(805) 543-1033
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 507 |
| AUM (Assets Under Management) | $ 265,274,084 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FORONJY FINANCIAL
CRD#: 332380Santa Barbara, CA 93101TRUST BUT VERIFY
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