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Stephen A Marks

Enclave Capital LLC

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About Stephen A Marks

Stephen A. Marks is a financial advisor with Enclave Capital LLC. Stephen has been working in the financial services industry since November 1989. Stephen is licensed in Florida, Massachusetts, New Jersey, and New York.

Firm Information

Stephen Marks is currently registered with Enclave Capital LLC. Enclave Capital LLC is a Limited Liability Company formed in May 1995 and is registered in 19 states, including Arizona, California, and New York. They are also registered with the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

19

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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Stephen Marks’s Registration & Firm History

NJ

09/24/2019 - Present

Enclave Capital LLC (Princeton NJ)

NJ

07/29/2008 - 08/20/2019

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC (PRINCETON NJ)

NY

03/29/2006 - 12/20/2007

HEDGE FUND CAPITAL PARTNERS, LLC (BROOKLYN NY)

NY

10/07/2003 - 12/19/2005

TRAUTMAN WASSERMAN & COMPANY, INC. (NEW YORK NY)

NY

06/11/2002 - 04/30/2003

WALL STREET FINANCIAL GROUP, INC. (VICTOR NY)

NJ

07/25/2000 - 11/16/2000

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)

MA

04/07/1997 - 03/31/2000

EATON VANCE DISTRIBUTORS, INC. (BOSTON MA)

NC

07/08/1993 - 04/09/1997

EVERGREEN INVESTMENT SERVICES, INC. (CHARLOTTE NC)

NJ

06/25/1991 - 12/24/1992

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

04/11/1988 - 06/05/1991

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NA

09/21/1983 - 12/13/1985

NOMURA SECURITIES INTERNATIONAL, INC.

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Licenses & Designations

BC

Issued 06/21/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/31/1988

Series 3 - National Commodity Futures Examination

BC

Issued 09/17/1983

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen A Marks.
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