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Detailed Report
Thomas Eugene Marks II
THOMAS E MARKS II, Thomas Eugene Marks
CRD#: 2702476
IA
Investment Adviser
B
Broker
LPL ENTERPRISE, LLCCRD#: 8733 3333 MICHELSON DRIVE
SUITE 820
IRVINE, CA 92612
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2024 - Present (<1 year)BPRUCO SECURITIES, LLC. (CRD# 5685)2020 - 2024 (4 years)BNYLIFE SECURITIES LLC (CRD# 5167)1996 - 2020 (23 years)IAPRUDENTIAL FINANCIAL PLANNING ... (CRD# 5685)2024 - 2024 (<1 year)
Disclosure(s)
View By:
6/30/2022
Customer Dispute
Denied
5/3/2012
Customer Dispute
Settled
2/8/2010
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 11/14/2024
B
Indiana 3/21/2025
B
California 11/14/2024
B
Nevada 11/14/2024
IA
California 11/14/2024
B
Texas 11/14/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL ENTERPRISE, LLC (CRD#:8733)
3333 MICHELSON DRIVE SUITE 820, IRVINE, CA 92612
Registered with this firm since 11/14/2024
B
LPL ENTERPRISE, LLC (CRD#:8733)
3333 MICHELSON DRIVE SUITE 820, IRVINE, CA 92612
Registered with this firm since 11/14/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/01/2024 - 11/14/2024 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) IRVINE, CA
B
 02/11/2020 - 11/14/2024 PRUCO SECURITIES, LLC. (CRD#:5685) IRVINE, CA
B
 05/22/1996 - 02/13/2020 NYLIFE SECURITIES LLC (CRD#:5167) BREA, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.