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WM

William B. Marcus

REGIMENT SECURITIES, LLC.
CHICAGO, IL 60611
Some features on this profile are disabled
CRD#: 1418897
WM

Professional summary

William B Marcus, who also goes by Bill Marcus, William B Marcus, William Bruce Marcus, is a registered financial professional currently at REGIMENT SECURITIES, LLC. located in Chicago, Illinois.

William is registered as a RR (Registered Representative) and started their career in finance in 1986. William has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 30 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Marcus | William B Marcus | William Bruce Marcus

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William B Marcus's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 3, 2026 - Present

REGIMENT SECURITIES, LLC.

Office #1: 420 N. Wabash Avenue, Chicago, IL 60611
BD
CRD#: 311302
CHICAGO, IL
Past

January 31, 2017 - September 13, 2024

YOUNG AMERICA CAPITAL, LLC

BD
CRD#: 150443
MAMARONECK, NY
Past

August 12, 2016 - December 31, 2018

SMARTX ADVISORY SOLUTIONS

RIA
CRD#: 167966
Deerfield, IL
Past

April 13, 2011 - April 22, 2016

HEDGE HARBOR INC.

BD
CRD#: 44324
NEW YORK, NY
Past

January 2, 2008 - September 23, 2010

NEWEDGE USA, LLC

BD
CRD#: 36118
CHICAGO, IL
Past

January 25, 2001 - September 1, 2008

NEWEDGE FINANCIAL INC.

BD
CRD#: 27322
CHICAGO, IL
Past

January 5, 1996 - August 21, 2000

SDI CAPITAL MARKETS, INC.

BD
CRD#: 23516
CHICAGO, IL
Past

February 24, 1992 - March 21, 1994

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

February 22, 1990 - March 4, 1992

DISCOUNT CORPORATION OF NEW YORK FUTURES

BD
CRD#: 13439
Past

March 19, 1986 - September 6, 1989

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(4/3/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 10/30/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/15/1986
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 12/23/1985
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 30
Date: 5/13/2004
NFA Branch Manager Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/3/1996
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RS
REGIMENT SECURITIES, LLC.
REGIMENT SECURITIES, LLC.

CRD#: 311302 / SEC#: , 8-70607

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
420 N. Wabash Avenue, Chicago, IL 60611
Mailing Address
420 N. Wabash Avenue 430, Chicago, IL 60611
Phone number
(773) 480-7561
Established
Delaware since 09/21/2020
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
REGIMENT, LLC.MEMBER
BURNHAM, STEPHEN TYLERSHAREHOLDER/PRINCIPAL4663613
D&A CAPITAL PARTNERS LLCMEMBER
CAVANAUGH, MICHAEL ALANCEO/CCO4794844
JONES, SHARON DOSTERFINOP/PFO/POO3124470

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.

Company Information

REGIMENT SECURITIES, LLC.

CRD#: 311302Chicago, IL 60611

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