Marshall W. Lindsey
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.
Marshall William Lindsey, who also goes by Marshall Lindsey, was a registered financial professional .
Marshall is a previously registered financial professional and started their career in finance in 2021. Marshall had worked at 2 firms and has passed the Series 63, SIE and Series 79TO exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2023 - March 3, 2025
REGIMENT SECURITIES, LLC.
November 10, 2021 - December 19, 2022
GAR WOOD SECURITIES, LLC
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 79TO
Date: 10/14/2021
Investment Banking Registered Representative ExaminationCurrent Firm
REGIMENT SECURITIES, LLC.
CRD#: 311302 / SEC#: , 8-70607
Contact information
FINRA licenses (33 States and Territories)
Red Flags
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