Charles Marks has been CEO / Managing Director / Chief Compliance Officer of Marks Wealth since September 2020, is a control person of the firm and directly owns 75% or more of it.
Marks Wealth, LLC is an Ellicott City, MD firm with $409M under management, 283 clients and 4 advisers in one office, as of its August 2026 filing.
Charles Marks’ longest registration is the current one, 6 years at Marks Wealth since 2020. Before joining Marks Wealth in 2020, Charles Marks was registered through Wells Fargo Clearing Services, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
- Marks Wealth ManagementCurrent– present · 6 yearsEllicott City, MD · Adviser representative · Firm CRD 310534
- Wells Fargo Clearing Services, LLC– · 4 yearsBaltimore, MD · Adviser representative · Firm CRD 19616
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 3 yearsBaltimore, MD · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Charles Marks is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from September 2020; the most recent is Texas, in March 2021.
- MarylandSince 18 September 2020
- TexasResidentSince 1 March 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 19 November 2011 |
| Series 7 | General Securities Representative Examination | 15 September 2011 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 5784332
- Firm
- Marks Wealth · CRD 310534
- Role
- CEO / Managing Director / Chief Compliance Officer
- Office
- 11690 FREDERICK RD, Ellicott City, MD 21042
- Registration
- Investment adviser registration
- In the industry since
- September 2011
- Disciplinary history
- Not yet shown here · SEC record
Where does Charles Marks work?
Charles Marks has been CEO / Managing Director / Chief Compliance Officer of Marks Wealth, LLC since September 2020, and is a control person of the firm.
Is Charles Marks a financial advisor?
Yes. Charles Marks has a current investment-adviser registration in Maryland and Texas, through Marks Wealth since September 2020.
How many years of experience does Charles Marks have?
Charles Marks has 15 years in the financial industry, since September 2011, across 3 adviser firms.
What exams has Charles Marks passed?
Charles Marks has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in September 2011. FINRA credited Charles Marks with the SIE, which began in October 2018.
Where did Charles Marks work before Marks Wealth?
Before Marks Wealth, Charles Marks was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, November 2011 to October 2015.
Where is Charles Marks based?
Charles Marks’ registered office is in Ellicott City, MD.
Is Charles Marks registered with FINRA?
No. Charles Marks has no current broker registration.
How can I verify Charles Marks’ record?
Search CRD 5784332 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Charles Marks’ full registration record.