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MN

Marcus K. Nagel

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CRD#: 2170816
MN

Professional summary

Marcus Kalman Nagel was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Marcus is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Marcus had worked at 6 firms, which includes RYAN BECK & CO., ALLSTATE FINANCIAL SERVICES LLC, RAYMOND JAMES FINANCIAL SERVICES INC., ROBERT THOMAS SECURITIES INC, CIBC WORLD MARKETS CORP., MCLAUGHLIN PIVEN VOGEL SECURITIES INC..

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 18, 2004 - June 29, 2004

RYAN BECK & CO.

BD
CRD#: 3248
FLORHAM PARK, NJ
Past

June 11, 2002 - October 24, 2003

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
LINCOLN, NE
Past

January 4, 1999 - June 6, 2002

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

March 5, 1998 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL
Past

June 27, 1995 - February 26, 1998

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

February 25, 1992 - September 23, 1994

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

BD
CRD#: 7404
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/15/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/8/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/23/1991
General Securities Representative Examination

Current Firm

RB
RYAN BECK & CO.
GRUNTAL, A DIVISION OF RYAN, BECK & CO., LLC | RYAN, BECK & CO., LLC. | RYAN, BECK & CO., LLC | RYAN, BECK & CO. INC. | RYAN, BECK & CO. | RYAN BECK & CO.,INC. DBA RYAN BECK & CO. | RYAN BECK & CO., INC. | RYAN BECK & CO.

CRD#: 3248 / SEC#: , 8-12296

BD
Terminated by SEC on 11/30/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
New Jersey since 10/01/2002
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
RYAN BECK HOLDINGS, INCSHAREHOLDER
CULLEN, THOMAS WILLIAMCHIEF FINANCIAL OFFICER2702098
KRUSZEWSKI, RONALD JAMESDIRECTOR1434827
PELLEGRINO, JOHN RICHTERSENIOR V.P.,DIRECTOR OF COMPLIANCE826719
PLOTKIN, BEN ALANCHAIRMAN AND CEO, DIRECTOR1692122
STEGELAND, GARRY JOSEPHEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER1881270
ZEMLYAK, JAMES MARKDIRECTOR1586132

Disclosures

Regulatory Event18
Arbitration5

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

RYAN BECK & CO.

CRD#: 3248

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