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RM

Rhys M. Marsh

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CRD#: 5399547
RM

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.

Rhys Michael Marsh was a registered financial professional .

Rhys is a previously registered financial professional and started their career in finance in 2008. Rhys had worked at 2 firms and has passed the Series 66, SIE, Series 79 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 20, 2011 - November 29, 2017

FIRST CITIZENS CAPITAL SECURITIES, LLC

BD
CRD#: 41504
NEW YORK, NY
Past

May 15, 2008 - May 5, 2009

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
NEW YORK, NY
Past

January 28, 2008 - May 5, 2009

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/14/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/29/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 6/14/2011
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 1/25/2008
General Securities Representative Examination

Current Firm

FC
FIRST CITIZENS CAPITAL SECURITIES, LLC
CAP-SYN CORP. | NEWCOURT CAPITAL SECURITIES, INC. | NEWCOURT CAPITAL | FIRST CITIZENS CAPITAL SECURITIES, LLC | CIT CAPITAL SECURITIES, INC. | CIT CAPITAL SECURITIES LLC

CRD#: 41504 / SEC#: , 8-49466

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
11 West 42nd Street 13th Floor, New York, NY 10036
Mailing Address
11 West 42nd Street 11th Floor, New York, NY 10036
Phone number
(212) 771-7872
Established
Delaware since 03/31/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FIRST CITIZENS BANCSHARES, INC.SHAREHOLDER
GETTYS, ALISHA DANIELLECHIEF COMPLIANCE OFFICER6254273
HUI, MICHELLE CHAOCHIEF FINANCIAL OFFICER/FINOP2480261
YOUNG, MICHAEL ROBERTPRESIDENT4410392

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

FIRST CITIZENS CAPITAL SECURITIES, LLC

CRD#: 41504

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