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Marshall James Cobb

Description

Marshall Cobb a financial professional at CAPTRUST Financial Advisors, a broker-dealer with 110 registered representatives nationwide. Marshall has held an industry securities registration for 17 years and is subject to SEC oversight.

BrightScope Advisor Metrics

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Answers and Guides

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Level 8 Level 8 Contributor 0 Answers and 2 Financial Guides

Top Answers

Marshall James Cobb has not answered any questions on Financial Q&A.

Top Guides

Magic 8 Ball

Published Jan 04, 2012
2 votes
The Magic 8 Ball is a toy that fits this world of exploration. Ask a question – any question – and it will provide a response. Of the total (20) potential answers, ten are affirmative, ...(more)

Why You Care About Greek Debt Default – Even if You Don’t Eat the Yogurt

Published Jan 04, 2012
2 votes
Recently a woman was removed from a “quiet car” of a passenger train. Her offense? Sixteen straight hours of talking on her cell phone whilst her fellow travelers tried to sleep, work or just get ...(more)
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
High Net Worth Individuals
Pension and Profit Sharing Plans
Corporations or Other Businesses
Charitable Organizations

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Captrust Financial Advisors 1 year, 5 months Dec 2011 - Present
The Investment Center 1 year, 1 month Mar 2004 - Apr 2005
Cobb Retirement Solutions, LLC 8 years, 6 months Jun 2003 - Dec 2011
Nfp Securities 2 years, 4 months Nov 2001 - Mar 2004
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 12/16/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Not registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
12/16/2011
10/09/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
General Securities Principal Examination Series 24 07/16/2004
Uniform Investment Adviser Law Examination Series 65 10/07/2003
General Securities Representative Examination Series 7 01/25/2000
Investment Company Products/Variable Contracts Principal Examination Series 26 09/22/1995
Uniform Securities Agent State Law Examination Series 63 09/16/1994
Investment Company Products/Variable Contracts Representative Examination Series 6 09/12/1994

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions