Marshall P. Smith
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 Patrick Smith, who also goes by Pat Smith, was a registered financial professional .
Marshall is a previously registered financial professional and started their career in finance in 1979. Marshall had worked at 6 firms and has passed the Series 65, 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
January 14, 2016 - December 31, 2020
MARK CAPITAL MANAGEMENT INC
November 27, 2006 - December 31, 2015
MARK CAPITAL MANAGEMENT INC
January 29, 2001 - December 31, 2006
SMITH & SPRAGUE
April 9, 1991 - June 18, 1999
CHARLES SCHWAB & CO., INC.
February 17, 1988 - October 29, 1990
LASALLE ST SECURITIES, L.L.C.
November 6, 1984 - December 16, 1986
MF GLOBAL INC.
November 23, 1979 - October 25, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 10/21/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MARK CAPITAL MANAGEMENT INC
CRD#: 110075 / SEC#: 801-42152
Contact information
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.
