Gregory MarksCRD Number: 4440233
Current Firm: Advice And Planning Services
Gregory Marks (CRD# 4440233) is an Investment Advisor Representative working at Advice And Planning Services in Charlotte, NC and has over 5 years of experience in the finance industry.
|Tiaa-cref Individual & Institutional Services, LLC||Charlotte, NC||Sep 2012 - Current||4|
|Tiaa||Charlotte, NC||Sep 2012 - Current||4|
|Pride Mobility Products||Exeter, PA||Mar 2010 - Current||6|
|The Vanguard Group, Inc.||Charlotte, NC||Aug 2011 - Sep 2012||1|
|Furniture Brands Inc.||Lenoir, NC||Jun 2010 - Aug 2011||1|
|Carter, Marks & Associates||Granite Falls, NC||Feb 2010 - Jun 2010||< 1|
|Convergys||Hickory, NC||Oct 2009 - Feb 2010||< 1|
|Carter, Marks & Associates||Granite Falls, NC||Jun 2009 - Oct 2009||< 1|
|Tiaa-cref||Charlotte, NC||Oct 2007 - May 2009||1|
|Northwestern Mutual Investment Services, LLC||Milwaukee, WI||Aug 2001 - Sep 2007||6|
|Northwestern Mutual||Milwaukee, WI||Sep 2000 - Sep 2007||7|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 2011|
|S66||NASAA Uniform Combined State Law Examination||Jan 2014|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management16,792MILLIONS
Total Number of Accounts45,960ACCOUNTS
Average Account Value$365,356
- A percentage of assets under your management
- Financial planning services
- Portfolio management for individuals and/or small businesses
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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