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Jean Catherine Marks

Cetera Advisors LLC

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About Jean Catherine Marks

Jean Catherine Marks is a financial advisor with Cetera Advisors LLC, located in Colorado Springs, Colorado. Jean has been in the financial industry since 2000 and has a Series 6 and SIE license. Jean Catherine Marks previously worked at NATIONAL PLANNING CORPORATION and NATHAN & LEWIS SECURITIES, INC.

Firm Information

Jean Marks is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Jean Marks’s Registration & Firm History

CO

10/12/2017 - Present

Cetera Advisors LLC (COLORADO SPRINGS CO)

CO

02/02/2001 - 10/16/2017

NATIONAL PLANNING CORPORATION (COLORADO SPRINGS CO)

NY

09/11/2000 - 02/13/2001

NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/08/2000

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Jean Catherine Marks.
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