Monty R. Marsh
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.
Monty Ray Marsh was a registered financial professional .
Monty is a previously registered financial professional and started their career in finance in 1981. Monty had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6 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
June 24, 2004 - December 31, 2016
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
November 4, 1992 - June 29, 2004
MONROE FINANCIAL CORPORATION
October 8, 1992 - October 30, 1992
MONROE FINANCIAL CORPORATION
June 29, 1990 - October 10, 1992
CITY SECURITIES CORPORATION
February 11, 1989 - August 7, 1990
RAFFENSPERGER, HUGHES & CO., INC.
March 29, 1982 - October 23, 1989
K. J. BROWN & CO., INC.
February 23, 1981 - April 5, 1982
AMERIPRISE FINANCIAL SERVICES, LLC
February 23, 1981 - April 15, 1982
AMERICAN EXPRESS FINANCIAL CORPORATION
February 23, 1981 - April 26, 1982
IDS LIFE INSURANCE COMPANY
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
Current Firm
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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