Stuart L. Merzer
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.
Stuart Leslie Merzer, who also goes by Stuart Merzer, was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1989. Stuart had worked at 4 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, Series 79TO, Series 7TO, SIE, Series 7, Series 6, Series 24 and Series 14 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2006 - March 5, 2021
PLUS SECURITIES LLC
April 26, 2001 - October 3, 2003
GPC SECURITIES, INC.
November 30, 1995 - January 29, 1997
M. J. WHITMAN, INC.
July 12, 1989 - September 16, 1989
REICH & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
PLUS SECURITIES LLC
CRD#: 138299 / SEC#: , 8-67157
Contact information
Documents
Red Flags
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