Marvin R. Welles
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 Roy Welles was a registered financial professional .
Marvin is a previously registered financial professional and started their career in finance in 1975. Marvin had worked at 8 firms and has passed the Series 63, Series 7, Series 3 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
February 14, 1985 - March 11, 1985
BROWN & HAWK, INC.
January 31, 1985 - March 11, 1985
MILLBROOK INVESTOR SECURITIES, INC.
January 5, 1983 - August 29, 1984
STATE CAPITAL FINANCIAL SERVICES CORPORATION
November 19, 1980 - November 3, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 28, 1977 - November 16, 1980
E. F. HUTTON & COMPANY INC
September 16, 1977 - October 23, 1977
PRUDENTIAL EQUITY GROUP, LLC
November 17, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
June 25, 1975 - October 22, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BROWN & HAWK, INC.
CRD#: 3062 / SEC#: , 8-8557
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
