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Marci Lynn Field

CRD# 1978687·Registered 1990 - 2016
Previously Registered: Being a previously registered professional could mean that Marci 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.

Professional Summary

Marci Lynn Field was a registered financial advisor. Marci was a previously registered financial professional and started their career in finance 1990 - 2016. Marci had worked at 11 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 9, Series 10 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

36 years in the financial services industry

Current & Past Employments

WREN CAPITAL, LLC·CRD# 150721
BD
San Francisco, CA
January 22, 2015 - November 9, 2016
BTIG, LLC·CRD# 122225
BD
New York, NY
July 13, 2009 - March 7, 2013
CREDIT AGRICOLE SECURITIES (USA) INC.·CRD# 190
BD
New York, NY
May 10, 2006 - July 28, 2006
OCEANUS SECURITIES, LLC·CRD# 133798
BD
New York, NY
June 23, 2005 - June 18, 2010
CREDIT AGRICOLE SECURITIES (USA) INC.·CRD# 190
BD
New York, NY
September 4, 2001 - May 18, 2004
HSBC SECURITIES (USA) INC.·CRD# 19585
BD
New York City, NY
October 29, 1998 - February 28, 2001
CASPIAN SECURITIES INCORPORATED·CRD# 38878
BD
New York, NY
July 9, 1997 - July 6, 1998
SBC WARBURG, INC.·CRD# 23745
BD
New York, NY
June 3, 1996 - May 14, 1997
S.G. WARBURG & CO. INC.·CRD# 1483
BD
New York, NY
March 11, 1993 - June 3, 1996
NOMURA SECURITIES INTERNATIONAL, INC.·CRD# 4297
BD
New York, NY
July 15, 1991 - February 12, 1993
FINANCIAL SQUARE PARTNERS·CRD# 1541
BD
New York, NY
February 6, 1991 - April 10, 1991
CROSBY SECURITIES INC.·CRD# 21124
BD
March 20, 1990 - October 8, 1992

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Current Firm

WC
WREN CAPITAL, LLC

PAENG, MARY NMN | WREN CAPITAL, LLC | WREN CAPITAL

CRD#: 150721 / SEC#: 8-68287
BD
Terminated by SEC on 09/07/2025

Contact Information

Established

California since 07/16/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
PAENG, MARYMANAGING MEMBER, CHEIF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER2288924
MOYE, CELESTE WILLATFINOP6566618

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 2009About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Nov 2016About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Nov 2001

Series 7 — General Securities Representative Examination

Passed Mar 1990About the Series 7 exam

Series 9 — General Securities Sales Supervisor - Options Module Examination

Passed Jan 2002About the Series 9 exam

Series 10 — General Securities Sales Supervisor - General Module Examination

Passed Jan 2002About the Series 10 exam

Series 24 — General Securities Principal Examination

Passed Dec 2001About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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