Frank J. Marx
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.
Frank Joseph Marx was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1976. Frank had worked at 18 firms and has passed the Series 63, SIE, Series 7, Series 1 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
November 18, 2015 - July 13, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 21, 2012 - October 31, 2013
INTERNATIONAL ASSETS ADVISORY, LLC
September 7, 2010 - April 17, 2012
WOODSTOCK FINANCIAL GROUP, INC.
August 6, 2010 - August 27, 2010
CRESCENT SECURITIES GROUP, INC.
September 18, 2009 - August 26, 2010
APS FINANCIAL CORPORATION
June 21, 2007 - September 23, 2009
SHEARSON FINANCIAL SERVICES, LLC
January 17, 2001 - July 13, 2007
INSTITUTIONAL CAPITAL MANAGEMENT, INC.
March 22, 1999 - November 30, 2000
VINING-SPARKS IBG, LLC
March 17, 1997 - February 4, 1999
SUNCOAST CAPITAL GROUP, LTD.
April 18, 1996 - February 26, 1997
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
February 1, 1994 - May 6, 1994
MERIDIAN SECURITIES, INC.
December 4, 1992 - October 22, 1993
AMERICAN GENERAL SECURITIES INCORPORATED
December 4, 1992 - December 23, 1993
AMERICAN ALLIED SECURITIES INC.
July 25, 1987 - August 30, 1988
MORTGAGE GOVERNMENT SECURITIES, INC.
January 3, 1986 - February 22, 1991
M.G.S.I. SECURITIES, INC.
February 8, 1979 - September 25, 1984
MARCUS, STOWELL & BEYE, INC.
January 13, 1978 - January 15, 1979
UMIC, INC.
August 2, 1976 - January 19, 1978
MARCUS, STOWELL & BEYE, INC.
February 11, 1976 - September 22, 1978
WINTERS & COMPANY, INC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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 1
Date: 7/23/1976
Registered Representative ExaminationCurrent Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
