Unclaimed Profile

John Albert Iv Marshall

KINGS POINT CAPITAL MANAGEMENT LLC·GREAT NECK, New York

Series 6, Series 7, Series 9, Series 10, Series 63, Series 6622 years registeredKINGS POINT CAPITAL MANAGEMENT LLC

60 CUTTERMILL ROAD, GREAT NECK, NY 11021CRD# 2634720Firm CRD# 137728

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

John Albert Iv Marshall · GREAT NECK, NY

Registration

CRD #2634720 · KINGS POINT CAPITAL MANAGEMENT LLC · 22 years registered

Brand Profile

Not yet started

Career History

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Jun 2022 – present

KINGS POINT CAPITAL MANAGEMENT LLC

Sep 2010 – Jun 2022

GREAT NECK, NY

STRATEGIC ADVISERS, INC.

Feb 2004 – Jul 2009

NEW YORK, NY

Registrations & Exams

FINRA examinations passed

Series 6

Series 7

Series 9

Series 10

Series 63

Series 66

Registration record

First registered · February 25, 2004

Years registered · 22

Disclosure History

2011Customer Dispute·Denied

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

KINGS POINT CAPITAL MANAGEMENT LLC

CRD 137728 · SEC 801-64958

AUM

$1.7B

Regulatory assets under management

Employees

1,334 client accounts

Services offered by KINGS POINT CAPITAL MANAGEMENT LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at KINGS POINT CAPITAL MANAGEMENT LLC →

Introduction

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Frequently Asked Questions

What services does John Albert Iv Marshall offer?

John Albert Iv Marshall specializes in Financial Planning, Investment Management, Wealth Management, Fee-Only Advisory. Contact their office in GREAT NECK, New York for a consultation.

What are John Albert Iv Marshall's credentials?

John Albert Iv Marshall is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is John Albert Iv Marshall located?

John Albert Iv Marshall is based in GREAT NECK, New York, working with KINGS POINT CAPITAL MANAGEMENT LLC. Their office serves clients in the GREAT NECK metropolitan area and surrounding communities.

How does John Albert Iv Marshall charge for services?

John Albert Iv Marshall's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is KINGS POINT CAPITAL MANAGEMENT LLC?

KINGS POINT CAPITAL MANAGEMENT LLC has approximately 17 employees and manages $1.7B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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