Marshall AmesCRD Number: 1144603
Current Firm: Rbc Capital Markets, LLC
Marshall Ames (CRD# 1144603) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in Tampa, FL and has over 33 years of experience in the finance industry.
Gavin Management Group, Inc.
The Financial Well, Inc.
Gator Capital Management, LLC
|Rbc Capital Markets Corporation||Tampa, FL||Oct 2009 - Current||8|
|J. B. Hanauer & Company||Tampa, FL||May 1983 - Oct 2009||26|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1984|
|S65||NASAA Investment Advisors Law Examination||May 2002|
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:
- Customer Dispute
Total Assets Under Management76,274MILLIONS
Total Number of Accounts192,243ACCOUNTS
Average Account Value$396,757
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops