Daniel Marcus

MARCUS CAPITAL

NORTHFIELD, IL 60093

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CRD#: 2091668

Professional summary

Daniel Marcus, who also goes by Dan Marcus, is a registered financial advisor currently at MARCUS CAPITAL, LLC located in Northfield, Illinois.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Daniel has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dan Marcus

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.

Effective October 20, 2022, I have taken a position as a member of the Board of Directors for Crown Electrokinetics Corp. The company commercializes electrokinetic technology for use in the smart glass market. This business is not investment related. I will devote approximately 3-4 hours per month to this activity during trading hours. My duties include being chairman of the audit committee and chairman of the finance committee.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Marcus'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

March 5, 2004 - Present

MARCUS CAPITAL, LLC

Office #1: One Northfield Plaza Suite 222, Northfield, IL 60093

RIA

CRD#: 130516

NORTHFIELD, IL

Past

January 29, 2001 - February 13, 2004

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

CHICAGO, IL

Past

October 1, 1990 - February 13, 2004

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MARCUS CAPITAL, LLC

CRD#: 130516 / SEC#: 801-132357

RIA

Registered Investment Advisory firm - (4/7/2025 Approved)

California

Registered Investment Advisory firm - (4/23/2016 Terminated)

Illinois

Registered Investment Advisory firm - (7/7/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(5/9/2025)

IAR

Texas
(5/10/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/16/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/8/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/27/1990

General Securities Representative Examination

Current Firm

MARCUS CAPITAL, LLC

CRD#: 130516 / SEC#: 801-132357

RIA

Registered Investment Advisory firm - (4/7/2025 Approved)

California

Registered Investment Advisory firm - (4/23/2016 Terminated)

Illinois

Registered Investment Advisory firm - (7/7/2025 Terminated)

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Contact information

Main Address

One Northfield Plaza Suite 222, Northfield, IL 60093

Mailing Address

Phone number

(847) 313-4326

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARCUS CAPITAL DISCLOSURE BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	246
AUM (Assets Under Management)	$ 112,988,186

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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Daniel Marcus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Marcus's CRS (Customer Relationship Summary).

Certified licenses

Experience

MARCUS CAPITAL, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

MARCUS CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/16/2001

Series 63

Date: 10/8/1990

Series 7

Date: 9/27/1990

Current Firm

MARCUS CAPITAL, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MARCUS CAPITAL, LLC

TRUST BUT VERIFY

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