Marcus M. Carbajal
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.
Marcus Mcnamara Carbajal was a registered financial advisor .
Marcus is a previously registered financial advisor and started their career in finance in 1989. Marcus had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 53 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
February 22, 2011 - December 31, 2011
ALLIED BEACON PARTNERS, INC.
May 5, 2010 - February 22, 2011
AMERICAN BEACON PARTNERS, INC.
May 25, 2004 - May 10, 2010
OSAIC WEALTH, INC.
May 6, 2004 - May 10, 2010
OSAIC WEALTH, INC.
November 11, 2003 - April 30, 2004
NSA SECURITIES CORPORATION
April 16, 2003 - October 31, 2003
INTERVEST INTERNATIONAL, INC.
April 2, 2003 - October 31, 2003
INTERVEST INTERNATIONAL EQUITIES CORPORATION
September 3, 2002 - March 31, 2003
NSA SECURITIES CORPORATION
September 26, 2001 - April 9, 2003
JOHN HANCOCK DISTRIBUTORS LLC
May 18, 2001 - March 31, 2003
NSA SECURITIES CORPORATION
April 28, 1992 - May 10, 2001
WOODBURY FINANCIAL SERVICES, INC.
September 7, 1989 - August 28, 1992
USLIFE EQUITY SALES CORP.
March 21, 1989 - April 5, 1989
SHELTER ROCK SECURITIES CORP.
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
ALLIED BEACON PARTNERS, INC.
CRD#: 46227 / SEC#: , 8-51357
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEACON AQUISITION PARTNERS, INC | SHAREHOLDER | |
| MATHER, ROBERT PHILIP | PRESIDENT, CEO, CCO, CFO AND CORPORATE SECRETARY | 1764918 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
