John W. 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.
John Winthrop Marcus, who also goes by John W Marcus, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 6 firms and has passed the Series 63, Series 79TO, SIE, 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
September 30, 2013 - February 28, 2022
ICAPITAL MARKETS LLC
May 24, 2013 - December 11, 2013
METHOD ENTERPRISE ADVISORS LLC
April 13, 2012 - June 10, 2013
LARKSPUR CAPITAL CORPORATION
July 11, 2005 - February 17, 2012
LAIDLAW & COMPANY (UK) LTD.
July 7, 2000 - April 13, 2004
PIBC SECURITIES LLC
September 6, 1994 - June 16, 2000
PMB SECURITIES CO., L.P.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
ICAPITAL MARKETS LLC
CRD#: 118219 / SEC#: , 8-53640
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
