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Current Employers
Marshall Investment Management, Llc

5251 Dtc Parkway Suite 1185, Greenwood Village, CO 80111 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2015-07-30
  • CO RA
    APPROVED
    Since 2015-07-30

Branch Locations

5251 Dtc Parkway Suite 1185, Greenwood Village, CO 80111 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Littleton CO 07/2015 Present
Marshall Investment Management Littleton CO 07/2015 Present
  • 07/2015 → Present
    Lpl Financial, Llc
    Littleton, CO
  • 07/2015 → Present
    Marshall Investment Management
    Littleton, CO
Previous Registrations
Other Businesses

1. 7/9/2015 - Marshall Investment Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/2015 - Time Spent 100%. 2. 10/25/2018 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary Public - Started 10/01/2018 - 1 Hour Per Month During Securities Trading - Notary Public for State of Colorado. 3. 3/1/2021 - Marshall Investment Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 01/01/2021 - 160 Hours Per Month/120 Hours During Securities Trading - I provide investment advisory services through Marshall Investment Management, an independent investment advisor firm. I started this business activity in 1/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 07/26/2022 - Cavill and Company - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 07/06/2022 - 0 Hours Per Month/0 Hours During Securities Trading. 5. 07/05/2023 - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Producer - Start Date 06/06/2023 - 1 Hour Per Month/ 1 Hour During Securities Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-04-12
  • S66 Uniform Combined State Law Examination
    2006-04-12
Other Names
  • Sharon Joy Botham

View on SEC IAPD

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