Marcus W. Ziegler
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.
Marcus Warth Ziegler, who also goes by Marcus Warth Ziegler III, was a registered financial professional .
Marcus is a previously registered financial professional and started their career in finance in 1984. Marcus had worked at 13 firms and has passed the Series 65, Series 63, Series 32, Series 55, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2013 - January 28, 2014
CORINTHIAN PARTNERS, L.L.C.
July 18, 2011 - December 16, 2011
LEGEND SECURITIES, INC.
March 28, 2011 - September 27, 2011
WESTOR CAPITAL GROUP, INC.
December 17, 2010 - February 2, 2011
ELEVATION, LLC
July 31, 2009 - April 29, 2010
MULTITRADE SECURITIES LLC
October 2, 2006 - December 20, 2006
SPIKE FINANCIAL SERVICES, LLC
May 18, 2006 - October 19, 2010
GAR WOOD SECURITIES, LLC
September 19, 2005 - September 29, 2006
SPIKE FINANCIAL SERVICES, LLC
October 18, 2002 - September 16, 2005
TJM INVESTMENTS, LLC
April 29, 2002 - October 15, 2002
ABN AMRO CLEARING USA LLC
May 28, 1993 - October 5, 2000
ABN AMRO SECURITIES LLC
September 10, 1992 - May 4, 1993
MARK TWAIN BROKERAGE SERVICES, INC.
April 24, 1989 - September 13, 1990
AVM, L.P.
December 18, 1984 - February 3, 1989
KIDDER, PEABODY & CO. 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: 9/27/2006
Limited Representative-Equity Trader ExamCurrent Firm
CORINTHIAN PARTNERS, L.L.C.
CRD#: 38912 / SEC#: , 8-48461
Contact information
FINRA licenses (33 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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