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WB

William F. Byrne

MAREX CAPITAL MARKETS
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 2152584
WB

Professional summary

William Francis Byrne is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in Red Bank, New Jersey.

William is registered as a RR (Registered Representative) and started their career in finance in 1992. William has worked at 8 firms and has passed the Series 63, Series 57TO, Series 72, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Francis Byrne'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

December 8, 2023 - Present

MAREX CAPITAL MARKETS INC.

Office #1: 322 Nj-35 2nd Floor, Red Bank, NJ 07701
BD
CRD#: 161014
Red Bank, NJ
Past

August 10, 2021 - December 13, 2023

COWEN AND COMPANY

BD
CRD#: 7616
Summit, NJ
Past

January 29, 2016 - January 4, 2022

COWEN PRIME SERVICES LLC

BD
CRD#: 153397
NEW YORK, NY
Past

May 13, 2008 - June 15, 2016

COWEN PRIME SERVICES TRADING LLC

BD
CRD#: 23857
NEW YORK, NY
Past

December 6, 2000 - January 7, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

February 25, 1998 - January 4, 1999

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA
Past

October 3, 1994 - January 15, 1998

CLEARWATER SECURITIES, INC.

BD
CRD#: 35659
SHORT HILLS, NJ
Past

February 18, 1992 - October 7, 1994

HERZOG, HEINE, GEDULD, LLC

BD
CRD#: 2186
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
New Jersey
(12/8/2023)
RR
New York
(12/8/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 4/14/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 12/20/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/14/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/23/2002
General Securities Principal Examination
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

MC
MAREX CAPITAL MARKETS INC.
E D & F MAN CAPITAL MARKETS INC. | MPS | MAREX CAPITAL MARKETS INC.

CRD#: 161014 / SEC#: , 8-69039

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

Main Address
140 East 45th Street 10th Floor, New York, NY 10017
Mailing Address
140 East 45th Street 10th Floor, New York, NY 10017
Phone number
(212) 618-2800
Established
New York since 01/10/1952
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MAREX SERVICES INC.DIRECT OWNER
BATES, CHRISTOPHERFINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR5648556
BERNICKY, JENNIFER KAISERCHIEF OPERATING OFFICER, DIRECTOR4781625
CHERRY, ELIN LYNNECHIEF COMPLIANCE OFFICER2430837
FALCO, CARMINE DOMENICOPRINCIPAL OPERATIONS OFFICER2782798
HOOD, STEPHEN MICHAELDIRECTOR3139127
VITTAL, MAHESH RAMPRES. & CEO, DIRECTOR4593014

Disclosures

Regulatory Event42

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

MAREX CAPITAL MARKETS INC.

CRD#: 161014Red Bank, NJ 07701

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