Marc R. Wein
Professional summary
Marc Robert Wein was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Marc is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Marc had worked at 6 firms, which includes FAB SECURITIES OF AMERICA INC., MARSH BLOCK & CO. INC., GKN SECURITIES CORP., AMERICORP SECURITIES INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 1997 - July 29, 1999
FAB SECURITIES OF AMERICA, INC.
December 5, 1996 - July 9, 1997
MARSH, BLOCK & CO. INC.
June 22, 1995 - November 8, 1996
GKN SECURITIES CORP.
October 29, 1992 - May 26, 1995
AMERICORP SECURITIES, INC.
May 9, 1990 - July 13, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 9, 1990 - July 13, 1992
EQUITABLE ADVISORS, LLC
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
FAB SECURITIES OF AMERICA, INC.
CRD#: 28212 / SEC#: , 8-41925
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FAB CAPITAL CORPORATION | ACQUIRING SOLE SHAREHOLDER | |
| SCHNEIDER, ROBERT ANDREW | SELLING MAJORITY SHAREHOLDER | 2128754 |
| SCHNEIDER, ROBERT ANDREW | RESIGNED CHAIRMAN AND PRESIDENT | 2128754 |
| HEILPERN, GERALD MARTIN | ACTING/INTERIM CHIEF OPERATING OFFICER | 241803 |
| HEILPERN, GERALD MARTIN | CHIEF OPERATING OFFICER AND DIRECTOR | 241803 |
| HEILPERN, GERALD MARTIN | RESIGNED CHIEF OPERATING OFFICER AND RESIGNED DIRECTOR | 241803 |
| MOLDTORRES, JULIA ANTIGONE | RESIGNED CHIEF FINANCIAL OFFICER (PRINCIPAL) | 2155228 |
| PARSONS, DAVID WAYNE | CHIEF LEGAL OFFICER | 2963654 |
| SCHNEIDER, SUE ELLEN | SELLING MINORITY SHAREHOLDER | |
| SCHULMAN, FREDRICK | RESIGNED CHIEF LEGAL OFFICER | 2834936 |
| STRAUSBERG, RANDY MARSHALL | CHIEF EXECUTIVE OFFICER AND CHAIRMAN | 818732 |
| STRAUSBERG, RANDY MARSHALL | CHIEF FINANCIAL OFFICER (PRINCIPAL) | 818732 |
| STRAUSBERG, RANDY MARSHALL | ACTING/INTERIM CHIEF EXECUTIVE OFFICER | 818732 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 7 |
Red Flags
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