Marc S. Wachter
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.
Marc Steven Wachter was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1987. Marc had worked at 9 firms and has passed the Series 63, Series 6, Series 7 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2010 - January 4, 2012
ROSS SECURITIES CORPORATION
March 17, 2008 - March 9, 2010
KESTRA INVESTMENT SERVICES, LLC
April 28, 2003 - March 31, 2008
OSAIC FS, INC.
December 20, 2002 - May 20, 2003
OGILVIE SECURITY ADVISORS CORPORATION
September 25, 2001 - January 3, 2003
FREEDOM FINANCIAL, INC.
May 8, 2001 - October 22, 2001
VALMARK SECURITIES, INC.
January 20, 1995 - May 19, 2000
ROBERT W. BAIRD & CO. INCORPORATED
April 29, 1994 - May 19, 2000
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 18, 1987 - October 23, 1987
THE STUART-JAMES COMPANY, INCORPORATED
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 12
Date: 6/19/1998
NYSE Branch Manager ExaminationCurrent Firm
ROSS SECURITIES CORPORATION
CRD#: 113796 / SEC#: , 8-53361
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROSS, NORMAN EDMOND | PRESIDENT, CCO, CUSTODIAN | 2258201 |
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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