Marc R. Wiersum
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 Raymond Wiersum, who also goes by Marc R Wiersum, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1994. Marc had worked at 10 firms and has passed the Series 63, Series 66, Series 82TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2021 - September 3, 2024
PALLADIUM CAPITAL GROUP, LLC
November 6, 2020 - February 22, 2021
WEILD & CO.
April 22, 2013 - June 20, 2013
U.S. BANCORP INVESTMENTS, INC.
May 25, 2011 - February 1, 2013
LEGEND TRADING, LLC
February 5, 2009 - August 25, 2009
STONEHAVEN, LLC
February 15, 2007 - May 21, 2008
HSBC SECURITIES (USA) INC.
February 15, 2007 - May 21, 2008
HSBC SECURITIES (USA) INC.
June 21, 2004 - October 25, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 7, 2004 - October 25, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 5, 1997 - March 31, 1999
CREDIT SUISSE SECURITIES (USA) LLC
March 7, 1997 - September 25, 1997
SALOMON BROTHERS INC.
July 10, 1995 - December 20, 1996
DAIWA CAPITAL MARKETS AMERICA INC.
July 27, 1994 - February 13, 1995
DAIWA CAPITAL MARKETS AMERICA 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
Series 82TO
Date: 11/6/2020
Limited Representative-Private Securities OfferingsCurrent Firm
PALLADIUM CAPITAL GROUP, LLC
CRD#: 129400 / SEC#: , 8-66223
Contact information
FINRA licenses (22 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KURLAND, AKIVA JOSEPH | MEMBER | 5366252 |
| LAZARUS, MARILYN NMI | MEMBER | 5447746 |
| LAZARUS, NORMAN MICHAEL | MEMBER | 7172324 |
| PADOWITZ, JOEL EUGEN | MEMBER | 4725316 |
| MOCH, TAMARA ROSALIE | MEMBER | 7172315 |
| BUCKLEY, ANNE PAUL | CHIEF COMPLIANCE OFFICER | 1781079 |
| MEDREZ, NATAN | PARTIAL OWNER | 4792730 |
| PALLADIUM HOLDINGS, LLC | PARTIAL OWNER | |
| ROOZ, EFRAIM | PARTIAL OWNER | 5823833 |
| SLOVIN, MARK ADAM | CHIEF FINANCIAL OFFICER AND FINOP | 6786999 |
| WEINBERG, ILAN JOSHUA | PARTIAL OWNER | 2354293 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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