Marc Kalter
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 Kalter, who also goes by Marc N Kalter, Marc Neil Kalter, was a registered financial advisor .
Marc is a previously registered financial advisor and started their career in finance in 1990. Marc had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 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 29, 2016 - August 6, 2018
DAWSON JAMES SECURITIES, INC.
January 13, 2010 - November 19, 2014
WOODSTOCK FINANCIAL GROUP, INC.
March 12, 2007 - December 31, 2009
WOODSTOCK FINANCIAL GROUP, INC.
September 23, 1999 - November 19, 2014
WOODSTOCK FINANCIAL GROUP, INC.
April 25, 1996 - January 16, 1998
MEYERS POLLOCK ROBBINS, INC.
January 18, 1996 - March 20, 1996
MONITOR INVESTMENT GROUP, INC.
November 27, 1995 - December 15, 1995
BILTMORE SECURITIES, INC.
September 5, 1995 - December 6, 1995
WINDSOR REYNOLDS SECURITIES, INC.
May 4, 1990 - July 25, 1995
STRATTON OAKMONT INC.
January 24, 1990 - March 19, 1990
CITIGROUP GLOBAL MARKETS 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
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
