Andrew L. Marcus
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.
Andrew Laurence Marcus, who also goes by Andrew L Marcus, Andy Marcus, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1986. Andrew had worked at 4 firms and has passed the Series 63 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
July 10, 1992 - December 15, 1992
GOLDEN HARRIS CAPITAL GROUP, INC.
April 30, 1991 - January 9, 1992
KOBER FINANCIAL CORP.
January 11, 1990 - October 4, 1990
CITIGROUP GLOBAL MARKETS INC.
November 18, 1986 - January 9, 1990
J. B. HANAUER & CO.
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
GOLDEN HARRIS CAPITAL GROUP, INC.
CRD#: 13889 / SEC#: , 8-30042
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
