MM
Mark L. Marshall
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
PALM SPRINGS, CA
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CRD#: 722838
MM
Professional summary
Mark Linn Marshall is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Palm Springs, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Palm Springs, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Mark 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)ML Marshall Wealth Management LLC, 1968 E CHIA RD, PALM SPRINGS, CA, 12/2010 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 2 HR/MO - 1/TRADING. 2)MARK MARSHALL AND LINDA DOWNING, RR 1, MINNEOLA, KS 67865. BEGAN 3/5/2004 AS A CO-OWNER WITH A FAMILY FARM WHICH I INHERITED. PRIMARY INCOME DERIVED FROM CROPS OF WHEAT AND MILO. NOT INVESTMENT RELATED. DEVOTES 10HR/YR, 0/TRADE. 3)THE MIZELL SENIOR CENTER 480 SOUTH SUNRISE WAY PALM SPRINGS, CA 92262. 06/28/2011 AS IMMEDIATE PAST PRESIDENT. ORGANIZATION WHERE ACTIVE SENIORS COME TOGETHER FOR SERVICE & ACTIVITY - MEALS ON WHEELS PROVIDER. NOT INVESTMENT RELATED. DEVOTES 20 HRS/MNTH. 2 HRS DURING TRADING. NON-PROFIT ORGANIZATION. 4.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 12/2010 AS ADVISORY REP OF A RIA. INV REL - 50 HR/WK - 30/TRADING. 5. MIZELL SENIOR CENTER ENDOWMENT, 480 S SUNRISE WAY, ,PALM SPRINGS, CA, BOARD MEMBER CHAIR, 09/01/20, INV REL, 10/YR-0 0/TRADING 6. MEASURE J OVERSIGHT COMMISSION, CITY OF PALM SPRINGS, 3200 E TAHQUITZ CANYON WAY, PALM SPRINGS, CA, 05/20/21, NIR COMMISSION MEMBER, 20 HR/MO- 0/TRADING HR.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Linn Marshall'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
December 16, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
PALM SPRINGS, CA
Current
December 15, 2010 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
PALM SPRINGS, CA
Past
August 27, 2010 - December 15, 2010
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
PALM SPRINGS, CA
Past
January 22, 2010 - December 15, 2011
INTEGRATED WEALTH MANAGEMENT, INC.
RIA
CRD#: 106335
PALM SPRINGS, CA
Past
August 28, 2009 - December 31, 2009
INTEGRATED WEALTH MANAGEMENT, INC.
RIA
CRD#: 106335
PALM SPRINGS, CA
Past
July 29, 2009 - September 27, 2010
BCG SECURITIES, INC.
BD
CRD#: 70
PALM SPRINGS, CA
Past
March 5, 2002 - May 21, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
INDIAN WELLS, CA
Past
January 3, 2002 - May 21, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
INDIAN WELLS, 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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 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
Arizona(1/3/2011)
RR
California(12/15/2010)
IAR
California(12/16/2010)
RR
District of Columbia(6/13/2014)
RR
Illinois(1/3/2011)
RR
Indiana(10/31/2011)
RR
Kansas(1/3/2011)
RR
New Jersey(8/24/2020)
RR
New Mexico(1/3/2022)
RR
New York(12/15/2010)
RR
Oregon(4/11/2019)
RR
Rhode Island(6/9/2011)
RR
Vermont(9/24/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
