Stacy 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.
Stacy Lynn Marcus, who also goes by Stacy L Marcus, Stacy Lynn Rosenberg, was a registered financial professional .
Stacy is a previously registered financial professional and started their career in finance in 1987. Stacy had worked at 3 firms and has passed the Series 63, Series 79, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2012 - May 20, 2013
OBSIDIAN FINANCIAL GROUP, LLC
August 3, 1988 - September 18, 1990
CITICORP SECURITIES, INC.
November 25, 1987 - April 7, 1988
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
OBSIDIAN FINANCIAL GROUP, LLC
CRD#: 104255 / SEC#: , 8-52756
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 9 |
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.
