Marc H. Weiss
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Marc Harlan Weiss was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1982. Marc had worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 1994 - April 21, 2020
INVESTACORP, INC.
September 13, 1982 - December 31, 1989
G. R. PHELPS & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INVESTACORP, INC.
CRD#: 7684 / SEC#: , 8-22598
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| ARNEAUD, MARCUS ANTHONY | CHIEF COMPLIANCE OFFICER | 2858859 |
| BLANCATO, PHILIP SALVATORE | DIRECTOR | 2122221 |
| CHANDER, RANA | EXECUTIVE VICE PRESIDENT, CIO | 4853245 |
| DUDAS, STEPHEN STANLEY | CFO | 4820047 |
| FARRELL, PATRICK CHRISTOPHER | DIRECTOR,PRESIDENT, CEO | 1454441 |
| GIOVANNIELLO, JOSEPH JR | DIRECTOR, ASSISTANT SECRETARY | 3086071 |
| MCKENNA, NINA | SECRETARY | 6302448 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| TARENTINO, MELISSA | GENERAL COUNSEL | 4470836 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
| Bond | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
