Marlon O. Cole
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.
Marlon O Cole was a registered financial professional .
Marlon is a previously registered financial professional and started their career in finance in 2006. Marlon had worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2019 - September 14, 2022
SW FINANCIAL
March 19, 2019 - December 17, 2019
WORDEN CAPITAL MANAGEMENT LLC
February 14, 2017 - May 3, 2017
THINKEQUITY LLC
February 29, 2016 - October 7, 2016
SPARTAN CAPITAL SECURITIES, LLC
June 2, 2015 - February 26, 2016
AVENIR FINANCIAL GROUP
April 2, 2015 - May 27, 2015
BLACKBOOK CAPITAL, LLC
October 31, 2014 - March 23, 2015
ALLIED MILLENNIAL PARTNERS, LLC
April 9, 2013 - October 29, 2014
LEGEND SECURITIES, INC.
July 15, 2011 - April 4, 2013
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
November 3, 2010 - July 14, 2011
GLOBAL ARENA CAPITAL CORP
May 21, 2008 - November 2, 2010
PRESTIGE FINANCIAL CENTER, INC.
December 18, 2006 - May 16, 2008
WINDSOR STREET CAPITAL, LP
April 5, 2006 - November 22, 2006
PHD CAPITAL
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
Red Flags
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