Individual Firm
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DANIEL JOSEPH MARKS
Dan Marks
CRD#: 4236524
IA
B
MORGAN STANLEYCRD#: 149777 Englewood, CO
0
Disclosures
17
Years of Experience
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State Registrations
B
Colorado 5/13/2020
B
New Mexico 5/13/2020
IA
Colorado 5/13/2020
SRO Registrations
B
B
B
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/06/2018 - 03/30/2020 | Lone Tree, CO | |
B | 03/23/2016 - 03/30/2020 | LONE TREE, CO | |
IA | 10/05/2016 - 02/07/2018 | Lone Tree, CO | |
IA | 04/18/2016 - 10/05/2016 | Lone Tree, CO | |
B | 06/01/2009 - 03/28/2016 | DENVER, CO | |
B | 07/02/2008 - 06/01/2009 | CHICAGO, IL | |
B | 10/04/2000 - 03/20/2001 | CHICAGO, IL |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.