Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Herbert? Claim Your ProfileHerbert Marx is a financial advisor with over 30 years of experience in the industry. Herbert is registered with Cuso Financial Services, LP in Boulder, CO and has passed the Series 6, 7, 8, 9, 10, 24, 53 and 66 exams. Herbert is also registered with the state of Colorado and has prior experience with firms such as Bancwest Investment Services, Inc., Fifth Third Securities, Inc. and Valic Financial Advisors, Inc. Herbert provides a variety of financial planning and investment services including financial planning, pension consulting, educational seminars and selection of other advisors to individuals and businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CO
10/19/2011 - Present
Cuso Financial Services, LP (BOULDER CO)
CO
04/15/2011 - 10/13/2011
BANCWEST INVESTMENT SERVICES, INC. (GRAND JUNCTION CO)
OH
12/08/2010 - 04/13/2011
FIFTH THIRD SECURITIES, INC. (DAYTON OH)
CO
07/06/2010 - 11/23/2010
CUSO FINANCIAL SERVICES, L.P. (AURORA CO)
CO
06/14/2010 - 07/01/2010
VALIC FINANCIAL ADVISORS, INC. (LAKEWOOD CO)
CO
07/06/2009 - 06/08/2010
ALLSTATE FINANCIAL SERVICES, LLC (COLORADO SPRINGS CO)
OH
01/09/2006 - 01/12/2009
OHIO NATIONAL EQUITIES, INC. (CINCINNATI OH)
OH
04/14/2005 - 12/09/2005
NATCITY INVESTMENTS, INC. (BELLEFONTAINE OH)
OH
03/09/2000 - 01/18/2005
NATIONWIDE INVESTMENT SERVICES CORPORATION (COLUMBUS OH)
OH
05/14/1999 - 12/02/1999
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
OH
08/07/1996 - 06/09/1999
KEY INVESTMENTS INC. (CLEVELAND OH)
WI
02/22/1995 - 08/09/1996
INVEST FINANCIAL CORPORATION (APPLETON WI)
NA
11/07/1989 - 02/17/1995
FINANCIAL HORIZONS SECURITIES CORPORATION
NY
07/14/1988 - 09/09/1989
EQUICO SECURITIES, INC. (NEW YORK NY)
NY
07/14/1988 - 09/09/1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
BOTH
Issued 06/20/2010
Series 66 - Uniform Combined State Law Examination
IA
Issued 09/15/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/23/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/05/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 04/24/1998
Series 53 - Municipal Securities Principal Examination
BC
Issued 04/23/1992
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/1991
Series 7 - General Securities Representative Examination
BC
Issued 07/07/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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