Benjamin A. Marsh
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.
Benjamin Alan Marsh, who also goes by Benjamin Allan Marsh, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1986. Benjamin had worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, 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 2, 2005 - September 14, 2023
BTIG, LLC
October 17, 1994 - April 25, 2005
CANACCORD GENUITY LLC
May 14, 1990 - May 6, 1994
WEEDEN & CO.L.P.
July 19, 1989 - April 27, 1990
GLOBAL PARTNERS SECURITIES INC.
April 14, 1986 - July 25, 1989
MORGAN STANLEY & CO. LLC
February 19, 1986 - March 31, 1986
GILDER GAGNON HOWE & 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/6/2000
Limited Representative-Equity Trader ExamCurrent Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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