Marvin L. Laughlin
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.
Marvin L Laughlin II was a registered financial professional .
Marvin is a previously registered financial professional and started their career in finance in 1981. Marvin had worked at 4 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 1989 - October 22, 2014
BEESE FULMER PRIVATE WEALTH MANAGEMENT
November 3, 1986 - February 14, 1989
KEYBANC CAPITAL MARKETS INC.
February 21, 1982 - December 2, 1986
PRUDENTIAL EQUITY GROUP, LLC
February 23, 1981 - January 28, 1982
PRESCOTT, BALL & TURBEN, INC.
Primary Firm SEC Registration
BEESE FULMER PRIVATE WEALTH MANAGEMENT
CRD#: 109882 / SEC#: 801-15485
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 8
Date: 4/25/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BEESE FULMER PRIVATE WEALTH MANAGEMENT
CRD#: 109882 / SEC#: 801-15485
Contact information
SEC notice filing (12 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,257 |
| AUM (Assets Under Management) | $ 1,584,302,453 |
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.
