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MP

Marc H. Pfeffer

CHAINCE SECURITIES
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 2060346
MP

Professional summary

Marc Harris Pfeffer, who also goes by Marc Pfeffer, is a registered financial professional currently at CHAINCE SECURITIES, LLC located in New York, New York.

Marc is registered as a RR (Registered Representative) and started their career in finance in 1990. Marc has worked at 11 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Marc Pfeffer

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.
1. Imperial Fund Asset Management, located at 899 W Cypress Creek Rd�Ft. Lauderdale FL 33309, investment-related, position - sales consultant. This role requires a few hours per annum. compensation - commissions on sales. 2. M2M Capital LLC, investment-related, located at 2575 S. Ocean Blvd, #212S, Highland Beach, FL 33487, nature of business - valuation of private companies, position - partner and sweat equity 1%, start date - April 2023, hours dedicated to this business during trading hours - 20, attend meetings and advise on corporate valuations.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marc Harris Pfeffer's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

September 12, 2025 - Present

CHAINCE SECURITIES, LLC

Office #1: 1251 Avenue Of The Americas 41st Floor, New York, NY 10020
BD
CRD#: 10590
NEW YORK, NY
Past

March 31, 2023 - September 10, 2025

IF SECURITIES LLC

BD
CRD#: 306092
FORT LAUDERDALE, FL
Past

July 5, 2022 - July 10, 2025

IMPERIAL FUND ASSET MANAGEMENT LLC

RIA
CRD#: 317525
GREAT NECK, NY
Past

April 15, 2022 - March 31, 2023

SAPENO INC.

BD
CRD#: 124769
LONDON,
Past

January 8, 2015 - December 31, 2020

ORION PORTFOLIO SOLUTIONS, LLC

RIA
CRD#: 107975
IRVINGTON, NY
Past

October 30, 2013 - December 31, 2014

ORION PORTFOLIO SOLUTIONS, LLC

RIA
CRD#: 107975
GREENWICH, CT
Past

November 3, 2011 - December 3, 2019

NORTHERN LIGHTS DISTRIBUTORS, LLC

BD
CRD#: 126159
ELKHORN, NE
Past

January 19, 2005 - October 31, 2011

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
GREENWICH, CT
Past

March 27, 2001 - June 17, 2004

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

January 19, 1999 - March 23, 2001

UNIFIED FINANCIAL SECURITIES, LLC

BD
CRD#: 7868
INDIANAPOLIS, IN
Past

September 9, 1996 - December 31, 1998

W&S BROKERAGE SERVICES, INC.

BD
CRD#: 8099
CINCINNATI, OH
Past

December 17, 1990 - January 9, 1995

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(11/14/2025)
RR
Connecticut
(9/12/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 5/26/2022
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/27/2013
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/15/1990
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CHAINCE SECURITIES, LLC
CHAINCE SECURITIES, LLC | JVDA, LLC | J.V. DELANEY & ASSOCIATES | DELANEY, JOSEPH VINCENT

CRD#: 10590 / SEC#: , 8-27564

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1251 Avenue Of The Americas 41st Floor, New York, NY 10020
Mailing Address
1251 Avenue Of The Americas 41st Floor, New York, NY 10020
Phone number
(646) 283-7120
Established
Delaware since 09/01/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
1

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CHAINCE SECURITIES, INCSOLE MEMBER
DAYE, WILFRED ZHONGKEICEO4320077
HARRIS, PATRICK EUGENECHIEF COMPLIANCE OFFICER5748909
SILVESTRO, MICHELE ANNFINOP6960939
0

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.

Company Information

CHAINCE SECURITIES, LLC

CRD#: 10590New York, NY 10020

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