Kevin Marshall Allegedly Failed to Review Client’s Portfolio

Kevin Marshall (CRD #: 3232334), a broker registered with Osaic Wealth, allegedly failed to review a client’s portfolio, according to his BrokerCheck record, accessed on August 10, 2025. If you have questions about his alleged conduct as a broker, keep reading.

Investor Dispute

On April 9, 2025, an investor filed a dispute alleging that Kevin Marshall failed to review his portfolio and suggest reallocation. The client sought $300,000 in damages but the firm denied the dispute.

Investors should know, however, that firms can deny disputes without an outside review. It’s still possible to recover damages after a denial and investors may want to pursue FINRA arbitration.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Kevin Marshall has passed the following exams:

• General Securities Principal Examination – Series 24
• Investment Company Products/Variable Contracts Principal Examination – Series 26
• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Investment Company Products/Variable Contracts Representative Examination – Series 6
• Uniform Combined State Law Examination – Series 66
• Uniform Securities Agent State Law Examination – Series 63

Kevin Marshall is a registered broker in 12 states and a registered investment adviser in Oregon and Texas.

He has also worked for the following firms:

• Signator Investors (CRD#:468)
• TransAmerica Financial Advisors (CRD#:16164)
• Woodbury Financial Services (CRD#:421) 

Kurta Law Can Help

If you worked with Kevin Marshall and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.