Marc S. Broder
Professional summary
Marc Steven Broder was barred by the FINRA 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 1991. Prior to being barred, Marc had worked at 8 firms, which includes KOVACK SECURITIES INC., HIMCO DISTRIBUTION SERVICES COMPANY, VOYA FINANCIAL ADVISORS INC., THE INVESTMENT CENTER INC., SECURIAN FINANCIAL SERVICES INC., FMSBONDS INC., JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2003 - March 17, 2009
KOVACK SECURITIES INC.
January 11, 2001 - June 19, 2003
HIMCO DISTRIBUTION SERVICES COMPANY
September 27, 2000 - January 9, 2001
VOYA FINANCIAL ADVISORS, INC.
June 10, 1998 - September 27, 2000
THE INVESTMENT CENTER, INC.
April 3, 1996 - June 23, 1998
SECURIAN FINANCIAL SERVICES, INC.
March 13, 1995 - April 9, 1996
FMSBONDS, INC.
September 3, 1991 - March 8, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 3, 1991 - March 8, 1995
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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