Marvin Egorin
Professional summary
Marvin Egorin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Marvin is a previously registered financial professional and started their career in finance in 1968. Prior to being barred, Marvin had worked at 10 firms, which includes WEDBUSH SECURITIES INC., WELLS FARGO CLEARING SERVICES LLC, A. G. EDWARDS & SONS INC., PRUDENTIAL EQUITY GROUP LLC, BACHE HALSEY STUART INC., BACHE & CO INCORPORATED, BACHE & CO. INCORPORATED, WEIS SECURITIES INC., F I DUPONT GLORE FORGAN & CO, HIRSCH & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2019 - March 6, 2019
WEDBUSH SECURITIES INC.
January 18, 2019 - March 6, 2019
WEDBUSH SECURITIES INC.
January 1, 2008 - February 14, 2019
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - February 14, 2019
WELLS FARGO CLEARING SERVICES, LLC
October 18, 1996 - January 1, 2008
A. G. EDWARDS & SONS, INC.
September 25, 1996 - January 3, 2008
A. G. EDWARDS & SONS, INC.
September 16, 1977 - September 18, 1996
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
June 20, 1973 - February 27, 1976
BACHE & CO., INCORPORATED
May 6, 1971 - June 1, 1973
WEIS SECURITIES, INC.
July 2, 1970 - November 17, 1971
F I DUPONT GLORE FORGAN & CO
April 19, 1968 - April 27, 1971
HIRSCH & CO.
Primary Firm SEC Registration
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
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 15
Date: 3/7/1983
Foreign Currency Options ExaminationPC
Date: 6/13/1977
AMEX Put and Call ExamSeries 1
Date: 4/17/1968
Registered Representative ExaminationCurrent Firm
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | OWNER | |
| BILLINGS, DANIEL ERIC | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | 4568232 |
| BLAND, GEOFFREY CONOR | DIRECTOR | 7358773 |
| DEMPSEY, FRANCIS BURKE | EXECUTIVE VICE PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR | 1688071 |
| FITZSIMMONS, ROBERT GERARD | EXECUTIVE VICE PRESIDENT | 1878661 |
| FRAUNCES, KIRSTEN CAMPBELL | EXECUTIVE VICE PRESIDENT | 2933930 |
| HULTGREN, DONALD WAYNE | EXECUTIVE CHAIR, DIRECTOR | 1475369 |
| MONE, CHRISTOPHER MICHAEL | EXECUTIVE VICE PRESIDENT | 2401952 |
| PARRODE, RODRIGO NMN | EVP, CHIEF OPERATING OFFICER | 4905345 |
| PASET, ROBERT EDWARD | EXECUTIVE VICE PRESIDENT | 1055902 |
| PRESTON, ERIN KATHLEEN | CHIEF COMPLIANCE OFFICER | 5314250 |
| WEDBUSH, GARY LANCE | PRESIDENT, DIRECTOR | 2234455 |
Regulatory assets under management
| Total Number of Accounts | 10,048 |
| AUM (Assets Under Management) | $ 5,684,848,455 |
Disclosures
| Regulatory Event | 147 |
| Civil Event | 3 |
| Arbitration | 60 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 04/26/2024 | ||
| 12/21/2022 |
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.
