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Marc Hallick: $6.5mm Complaint Against Raymond James Advisor

A recent investor complaint against The Villages, Florida financial advisor Marc Hallick (CRD# 4652410) alleges that he recommended a margin strategy that resulted in seven-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Raymond James & Associates.

Mr. Hallick’s BrokerCheck report discloses one investor complaint. Filed in October 2023, it alleges that as a Raymond James & Associates representative, he recommended an unsuitable investment strategy that involved “short selling concentrated positions on margin” and further that he failed to disclose risks associated with the strategy. The pending complaint alleges damages of $6.5 million.

A profile for Mr. Hallick on Raymond James’ website states that he is a member of Precision Wealth Management, a group within the firm. “Marc is dedicated to helping his clients and their families pursue their goals by customizing financial plans and investment portfolios to their individual situations, needs and risk tolerances,” the profile states. “He manages each plan and portfolio and keeps his clients fully informed on the progress they are making during regularly scheduled review meetings.”

According to the Financial Industry Regulatory Authority, Marc Hallick holds 20 years of securities industry experience. Based in The Villages, Florida, he has been a broker and an investment advisor with Raymond James & Associates since 2019. His past registrations include Wells Fargo Clearing Services (The Villages, Florida; 2005-2019) and Morgan Stanley (Ocala, Florida; 2003-2005). His credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Futures Managed Funds Examination, or Series 31; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He holds 37 state licenses. (Information current as of November 18, 2023.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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