Michael A. Marques
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.
Michael Albert Marques was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 1997 - June 2, 2016
DAIWA CAPITAL MARKETS AMERICA INC.
November 28, 1995 - April 9, 1997
ASIA EQUITY INC.
April 12, 1995 - June 16, 1995
MURIEL SIEBERT & CO., LLC
May 5, 1994 - January 10, 1995
FORTIS CAPITAL INVESTMENTS INC.
March 4, 1993 - March 31, 1994
PEREGRINE BROKERAGE INC.
September 16, 1992 - February 4, 1993
INNOVA SECURITIES, INC.
October 31, 1988 - October 7, 1991
DEUTSCHE BANK CAPITAL CORPORATION
December 21, 1983 - October 24, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 55
Date: 10/20/1999
Limited Representative-Equity Trader ExamCurrent Firm
DAIWA CAPITAL MARKETS AMERICA INC.
CRD#: 1576 / SEC#: , 8-12242
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC. | SHAREHOLDER | |
| AIZAWA, GAKU | MANAGING DIRECTOR / MEMBER OF THE BOARD OF DIRECTORS | 1763967 |
| GREFE, JOHN HERBERT III | EXECUTIVE DIRECTOR - CHIEF COMPLIANCE OFFICER | 3275699 |
| MACHIDA, KEIJI | PRESIDENT / CEO & CHAIRMAN (BOARD OF DIRECTOR) | 7273228 |
| PARRY, GEORGE L | CFO / TREASURER | 3221390 |
| SAMBONGI, TOHRU | MANAGING DIRECTOR / CO-HEAD OF FIXED INCOME | 7302894 |
| UEJIMA, EIJI | MANAGING DIRECTOR / CO-HEAD OF EQUITY DIVISION | 8039040 |
| YAMAUCHI, MASAHIRO | DEPUTY PRESIDENT / MEMBER OF THE BOARD OF DIRECTORS | 7920876 |
Disclosures
| Regulatory Event | 30 |
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.
