Byron R. Marshall
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.
Byron Richard Marshall was a registered financial professional .
Byron is a previously registered financial professional and started their career in finance in 1980. Byron had worked at 13 firms and has passed the Series 63, Series 55, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2000 - October 1, 2003
TITLE SECURITIES, INC.
April 30, 1999 - May 26, 2000
ROTHSCHILD INVESTMENT LLC
December 13, 1996 - December 24, 1998
A. G. EDWARDS & SONS, INC.
February 22, 1996 - November 14, 1996
RODMAN & RENSHAW INC.
June 19, 1995 - January 23, 1996
MADISON SECURITIES, INC.
May 2, 1995 - June 14, 1995
LEXINGTON SECURITIES, INC.
February 26, 1993 - April 24, 1995
PRINCIPAL FINANCIAL SECURITIES,INC.
February 8, 1991 - February 23, 1993
DAIN RAUSCHER INCORPORATED
March 4, 1988 - February 14, 1991
GRUNTAL & CO., L.L.C.
April 9, 1984 - March 9, 1988
MOSELEY SECURITIES CORPORATION
October 6, 1982 - August 20, 1984
E. F. HUTTON & COMPANY INC
September 1, 1981 - October 1, 1982
UBS FINANCIAL SERVICES INC.
April 24, 1980 - July 14, 1981
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 8/7/2000
Limited Representative-Equity Trader ExamCurrent Firm
TITLE SECURITIES, INC.
CRD#: 30057 / SEC#: , 8-33556
Contact information
Documents
Disclosures
| Regulatory Event | 15 |
Red Flags
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