Mark D. Ficke
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.
Mark Daniel Ficke was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1983. Mark had worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2016 - March 20, 2019
MAREX CAPITAL MARKETS INC.
July 1, 2013 - June 9, 2014
EXECUTION ACCESS, LLC
February 6, 2008 - November 26, 2008
ESPEED BROKERAGE, L.P.
July 24, 2007 - May 1, 2008
MINT BROKERS
July 24, 2007 - July 11, 2013
BGC FINANCIAL, L.P.
April 26, 2007 - July 24, 2007
CANTOR FITZGERALD & CO.
September 29, 2003 - April 13, 2007
BNP PARIBAS SECURITIES CORP.
April 27, 1990 - January 13, 1995
MORGAN STANLEY MARKET PRODUCTS INC.
December 21, 1983 - October 1, 2003
MORGAN STANLEY & CO. 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
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
Red Flags
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