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Sylvester Marbey

Chief Compliance Officer at Vontobel Asset Management

Broker registration; no current adviser registration

Sylvester Marbey is Chief Compliance Officer of Vontobel Asset Management, Inc., a New York investment adviser managing $20.3B. Sylvester Marbey has a current broker registration and no current investment-adviser registration and has passed 6 licensing exams.

5
Past adviser firms
6
Licensing exams

From the IAPD record · data retrieved 18 October 2026 · page updated 20 October 2026SEC record

Career

Sylvester Marbey has been Chief Compliance Officer of Vontobel Asset Management since October 2023. Sylvester Marbey is a control person of the firm and directly owns under 5% of it.

Vontobel Asset Management, Inc. is a New York, NY firm with $20.3B under management, 34 clients and 23 advisers across 2 offices, as of its August 2026 filing.

  1. Russell Investments
    – · 2 years
    Somerset, NJ · Adviser representative · Firm CRD 105734
  2. Prudential Customer Solutions LLC
    – · 1 year
    Newark, NJ · Adviser representative · Firm CRD 286153
  3. Prudential Financial Planning Services
    – · 1 year
    Newark, NJ · Adviser representative · Firm CRD 5685
  4. J.p. Morgan Securities LLC
    – · 3 years
    New York, NY · Adviser representative · Firm CRD 79
  5. Merrill Lynch, Pierce, Fenner & Smith Incorporated
    – · 2 years
    Pennington, NJ · Adviser representative · Firm CRD 7691

Credentials and registrations

Examinations

Series 247 November 2019
Name
General Securities Principal Examination
SIECredited
Name
Securities Industry Essentials Examination
Series 1027 December 2012
Name
General Securities Sales Supervisor - General Module Examination
Series 920 November 2012
Name
General Securities Sales Supervisor - Options Module Examination
Series 7914 May 2012
Name
Investment Banking Registered Representative Examination
Series 6630 January 2012
Name
Uniform Combined State Law Examination
Series 77 December 2011
Name
General Securities Representative Examination

Individual record

Full name
Sylvester Marbey
CRD
5419511

Disciplinary history is not reported here, in either direction. Check the SEC record.

Common questions

Where does Sylvester Marbey work?

Sylvester Marbey has been Chief Compliance Officer of Vontobel Asset Management, Inc. since October 2023, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 4 August 2026

Does Sylvester Marbey have a current investment-adviser registration?

Sylvester Marbey has a current broker registration and no current investment-adviser registration.

Source: IAPD individual record, checked 18 October 2026

What exams has Sylvester Marbey passed?

Sylvester Marbey has passed 6 licensing exams: the Series 7, Series 66, Series 79, Series 9, Series 10 and Series 24. The earliest, the Series 7, was passed in December 2011. FINRA credited Sylvester Marbey with the SIE, which began in October 2018.

Source: IAPD individual record, checked 18 October 2026

Where was Sylvester Marbey previously registered as an investment adviser?

Sylvester Marbey has past investment-adviser registrations through Russell Investments, July 2021 to October 2023; Prudential Customer Solutions LLC, August 2019 to July 2021; Prudential Financial Planning Services, June 2018 to August 2019; J.p. Morgan Securities LLC, February 2015 to May 2018; Merrill Lynch, Pierce, Fenner & Smith Incorporated, January 2012 to January 2015, across 5 firms.

Source: IAPD individual record, checked 18 October 2026

Leadership at Vontobel Asset Management

Sources

  1. IAPD individual record, CRD 5419511. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Vontobel Asset Management, Inc., filed 4 August 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

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