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LM

Lauren E. Marx

VIRTUS INVESTMENT ADVISERS
Bolton, CT
Some features on this profile are disabled
CRD#: 5204545
LM

Professional summary

Lauren Elizabeth Marx, who also goes by Lauren Marx, is a registered financial advisor currently at VIRTUS INVESTMENT ADVISERS, LLC located in Bolton, Connecticut and VP DISTRIBUTORS LLC located in North Hampton, New Hampshire.

Lauren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Lauren has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Lauren Marx

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) - RIA

Click below to view Lauren Elizabeth Marx'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®
None

Experience

Current

November 21, 2013 - Present

VIRTUS INVESTMENT ADVISERS, LLC

RIA
CRD#: 106982
Bolton, CT
Current

July 23, 2013 - Present

VP DISTRIBUTORS LLC

Office #1: 44 Lafayette Rd Unit #6 Suite 207, North Hampton, NH 03862
BD
CRD#: 3036
NORTH HAMPTON, NH
Past

March 4, 2011 - August 7, 2013

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
BLOOMFIELD, CT
Past

January 1, 2007 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
WARWICK, RI
Past

January 1, 2007 - March 18, 2009

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
WARWICK, RI

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".
VI
VIRTUS INVESTMENT ADVISERS, LLC
PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA
Registered Investment Advisory firm - (9/17/1969 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.
RR
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

RR
Connecticut
(7/23/2013)
IAR
Connecticut
(11/21/2013)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/21/2013
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/9/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/13/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/22/2006
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/22/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

VI
VIRTUS INVESTMENT ADVISERS, LLC
PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA
Registered Investment Advisory firm - (9/17/1969 Approved)
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Contact information

Main Address
One Financial Plaza 26th Floor, Hartford, CT 06103
Mailing Address
Phone number
(800) 248-7971
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts105
AUM (Assets Under Management)$ 53,982,609,839

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

VIRTUS INVESTMENT ADVISERS, LLC

CRD#: 106982Bolton, CT

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