Marci L. Field

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CRD#: 1978687

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.

Marci Lynn Field was a registered financial professional .

Marci is a previously registered financial professional and started their career in finance in 1990. 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.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 22, 2015 - November 9, 2016

WREN CAPITAL, LLC

CRD#: 150721

SAN FRANCISCO, CA

Past

July 13, 2009 - March 7, 2013

BTIG, LLC

CRD#: 122225

NEW YORK, NY

Past

May 10, 2006 - July 28, 2006

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190

NEW YORK, NY

Past

June 23, 2005 - June 18, 2010

OCEANUS SECURITIES, LLC

CRD#: 133798

NEW YORK, NY

Past

September 4, 2001 - May 18, 2004

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190

NEW YORK, NY

Past

October 29, 1998 - February 28, 2001

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

July 9, 1997 - July 6, 1998

CASPIAN SECURITIES INCORPORATED

CRD#: 38878

NEW YORK, NY

Past

June 3, 1996 - May 14, 1997

SBC WARBURG, INC.

CRD#: 23745

NEW YORK, NY

Past

March 11, 1993 - June 3, 1996

S.G. WARBURG & CO. INC.

CRD#: 1483

NEW YORK, NY

Past

July 15, 1991 - February 12, 1993

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

February 6, 1991 - April 10, 1991

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

March 20, 1990 - October 8, 1992

CROSBY SECURITIES INC.

CRD#: 21124

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 7/16/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/9/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 11/19/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/17/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/28/2002

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/8/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 12/26/2001

General Securities Principal Examination

Current Firm

WREN CAPITAL, LLC

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

CRD#: 150721 / SEC#: , 8-68287

Terminated by SEC on 09/07/2025

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Contact information

Main Address

Mailing Address

Phone number

Established

California since 07/16/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
PAENG, MARY	MANAGING MEMBER, CHEIF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER	2288924
MOYE, CELESTE WILLAT	FINOP	6566618

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.

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Advisor Monitoring

Firm Stability Insights

Marci L. Field

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BTIG, LLC

CREDIT AGRICOLE SECURITIES (USA) INC.

OCEANUS SECURITIES, LLC

CREDIT AGRICOLE SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

CASPIAN SECURITIES INCORPORATED

SBC WARBURG, INC.

S.G. WARBURG & CO. INC.

NOMURA SECURITIES INTERNATIONAL, INC.

FINANCIAL SQUARE PARTNERS

CROSBY SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/16/2009

SIE

Date: 11/9/2016

Series 55

Date: 11/19/2001

Series 7

Date: 3/17/1990

Series 9

Date: 1/28/2002

Series 10

Date: 1/8/2002

Series 24

Date: 12/26/2001

Current Firm

WREN CAPITAL, LLC

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

WREN CAPITAL, LLC

TRUST BUT VERIFY

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