Marcus E. Rivers
Professional summary
Marcus Eugene Rivers was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Marcus is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Marcus had worked at 6 firms, which includes JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, CADARET GRANT & CO. INC., GREEN HILL FINANCIAL SERVICE CORPORATION, PRINCIPAL SECURITIES INC., PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 1993 - December 13, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 20, 1993 - December 11, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 28, 1991 - December 31, 1995
CADARET, GRANT & CO., INC.
December 13, 1990 - March 6, 1991
GREEN HILL FINANCIAL SERVICE CORPORATION
March 27, 1990 - October 25, 1990
PRINCIPAL SECURITIES, INC.
February 5, 1987 - April 8, 1989
PRUCO SECURITIES, LLC.
August 2, 1983 - April 8, 1989
PRUCO SECURITIES, LLC.
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
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
CRD#: 5181 / SEC#: , 8-15661
Contact information
Documents
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.
