Marc H. Slugh
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 Howard Slugh, who also goes by Marc Slugh, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1993. Marc had worked at 6 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
April 2, 2013 - June 11, 2013
UPHOLD SECURITIES INC.
March 19, 2008 - March 21, 2011
UPHOLD SECURITIES INC.
October 8, 2007 - March 27, 2008
LADENBURG THALMANN & CO. INC.
May 16, 2006 - January 5, 2007
NOVA CAPITAL MARKETS, LLC
October 1, 2000 - May 25, 2006
BLUEROOM SECURITIES CORP.
April 11, 1994 - January 5, 1998
SALOMON BROTHERS INC.
April 14, 1993 - April 12, 1994
S.G. WARBURG & CO. INC.
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
UPHOLD SECURITIES INC.
CRD#: 34071 / SEC#: , 8-46202
Contact information
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UPHOLD, INC. | PARENT | |
| SNYDER, CURTIS LEE JR | PRESIDENT & COO/CFO/CCO | 1885111 |
Disclosures
| Regulatory Event | 1 |
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.
