Marc S. Freed
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 Stuart Freed was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1982. Marc had worked at 8 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 5, Series 3 and Series 15 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2012 - January 3, 2018
VAN ECK SECURITIES CORPORATION
December 2, 2002 - January 31, 2011
LYSTER WATSON SECURITIES, INC.
July 27, 1994 - April 27, 1999
DEUTSCHE BANK SECURITIES INC.
August 12, 1991 - December 22, 1992
SANWA UNIVERSAL SECURITIES CO., LLC
August 12, 1991 - June 2, 1993
SANWA SECURITIES (USA) CO., L.P.
September 25, 1990 - August 1, 1991
MORGAN STANLEY DW INC.
January 29, 1990 - February 17, 1990
MORGAN STANLEY & CO. LLC
August 24, 1982 - March 24, 1988
SALOMON BROTHERS 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
Series 5
Date: 11/29/1982
Interest Rate Options ExaminationSeries 15
Date: 11/19/1982
Foreign Currency Options ExaminationCurrent Firm
VAN ECK SECURITIES CORPORATION
CRD#: 2269 / SEC#: , 8-4618
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VAN ECK ASSOCIATES CORPORATION | 100% OWNER & PARENT | |
| GOZZILLO, FRANCESCO MICHAEL | CHIEF COMPLIANCE OFFICER | 2099916 |
| RAPPAPORT, LEE ROBERT | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, OPERATIONS PRINCIPAL (FINOP) AND DIRECTOR | 4682842 |
| SIMON, JONATHAN RICH | SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY AND DIRECTOR | 5313394 |
| VANECK, JAN FREDERICK | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1695680 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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