Marc H. Banker

BGC FINANCIAL, L.P.

NEW YORK, NY 10004

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CRD#: 1690607

Professional summary

Marc Howard Banker, who also goes by Marc H Banker, Marc Howard Banker, is a registered financial professional currently at BGC FINANCIAL, L.P. located in New York, New York.

Marc is registered as a RR (Registered Representative) and started their career in finance in 1987. Marc has worked at 13 firms and has passed the Series 63, Series 3, Series 57TO, SIE, Series 55, Series 7, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Marc H Banker | Marc Howard Banker

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 Marc Howard Banker'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

September 8, 2023 - Present

BGC FINANCIAL, L.P.

Office #1: 55 Water Street 10th Floor, New York, NY 10004

CRD#: 19801

NEW YORK, NY

Past

October 1, 2008 - July 10, 2023

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

May 12, 2008 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

April 7, 2005 - May 13, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

February 3, 2004 - April 7, 2005

NEWEDGE USA, LLC

CRD#: 36118

CHICAGO, IL

Past

July 8, 2003 - November 25, 2003

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

April 7, 2000 - April 20, 2001

FRIEDBERG MERCANTILE GROUP, INC.

CRD#: 34173

TORONTO, ONTARIO,

Past

January 29, 1999 - September 15, 1999

ON-SITE TRADING, INC.

CRD#: 30271

GREAT NECK, NY

Past

February 9, 1998 - October 7, 1998

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

March 1, 1996 - November 5, 1996

YAMAICHI INTERNATIONAL (AMERICA) INC.

CRD#: 909

NEW YORK, NY

Past

February 2, 1989 - March 7, 1996

CANTOR FITZGERALD SECURITIES

CRD#: 19660

NEW YORK, NY

Past

October 18, 1988 - December 19, 1988

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

August 24, 1988 - October 27, 1988

PERSHING LLC

CRD#: 7560

Past

July 21, 1987 - June 6, 1988

KUHNS BROTHERS & LAIDLAW, INC.

CRD#: 1481

State Registrations and Notice Filings

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

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

Connecticut
(12/21/2023)

Florida
(12/21/2023)

Illinois
(11/30/2023)

Minnesota
(12/21/2023)

New York
(9/8/2023)

Texas
(11/30/2023)

Exams

State Security Law Exam

Series 63

Date: 7/24/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 10/7/2023

National Commodity Futures Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/4/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/18/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 2/26/2011

General Securities Principal Examination

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq GEMX, LLC

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

BGC FINANCIAL, L.P.

CRD#: 19801 / SEC#: , 8-39012

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

55 Water Street 10th Floor, New York, NY, 10004

Mailing Address

55 Water Street 10th Floor, New York, NY, 10041

Phone number

(646) 346-7000

Established

Delaware since 04/02/2008

Firm type

Partnership

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BGC BROKERS US L.P.	LIMITED PARTNER
ABULARRAGE, JOHN JOSEPH	CHIEF EXECUTIVE OFFICER	3265633
ANZALONE, THOMAS JOSEPH	CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER	1161513
AUBIN, JEAN PIERRE	EXECUTIVE MANAGING DIRECTOR EQUITIES, DERIVATIVES, FUTURES	5596046
BGCF HOLDINGS LLC	GENERAL PARTNER
HAUF, JASON WILLIAMS	CHIEF FINANCIAL OFFICER	4163331
LEWIS, THOMAS JOSEPH	MANAGING DIRECTOR FIXED INCOME AND COMMODITIES	2684821
LYNCH, MARTIN	CHIEF OPERATING OFFICER	5612726
SULFARO, MICHAEL CARL	CHIEF COMPLIANCE OFFICER	2483562

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Marc H. Banker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marc Howard Banker's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES LLC

NEWEDGE USA, LLC

DEUTSCHE BANK SECURITIES INC.

FRIEDBERG MERCANTILE GROUP, INC.

ON-SITE TRADING, INC.

BARCLAYS CAPITAL INC.

YAMAICHI INTERNATIONAL (AMERICA) INC.

CANTOR FITZGERALD SECURITIES

DREXEL BURNHAM LAMBERT INCORPORATED

PERSHING LLC

KUHNS BROTHERS & LAIDLAW, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/24/2003

Series 3

Date: 10/7/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 2/4/1999

Series 7

Date: 7/18/1987

Series 10

Date: 1/2/2023

Series 24

Date: 2/26/2011

Cboe BZX Exchange, Inc.

FINRA

NYSE Arca, Inc.

Nasdaq GEMX, LLC

Nasdaq ISE, LLC

Nasdaq Stock Market

Current Firm

BGC FINANCIAL, L.P.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BGC FINANCIAL, L.P.

TRUST BUT VERIFY

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