Marc D. Schumacher

KBD SECURITIES

New Yoyk, NY 10016

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CRD#: 2207503

Professional summary

Marc David Schumacher is a registered financial professional currently at KBD SECURITIES, LLC located in New Yoyk, New York.

Marc is registered as a RR (Registered Representative) and started their career in finance in 1993. Marc has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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 Marc David Schumacher'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

April 11, 2007 - Present

KBD SECURITIES, LLC

Office #1: 470 Park Avenue South, New Yoyk, NY 10016Office #2: 470 Park Avenue South 8th Floor South, New York, NY 10016

CRD#: 104110

New Yoyk, NY

Past

May 29, 2002 - July 8, 2005

KELMOORE INVESTMENT COMPANY, INC.

CRD#: 22509

PALO ALTO, CA

Past

May 22, 2001 - April 18, 2002

KBD SECURITIES, LLC

CRD#: 104110

NEW YORK, NY

Past

September 20, 1996 - May 9, 2001

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

March 17, 1995 - October 9, 1996

CASTLE SECURITIES CORP.

CRD#: 16077

FREEPORT, NY

Past

March 7, 1995 - March 16, 1995

FIRST ASSET MANAGEMENT, INC.

CRD#: 17341

GARDEN CITY, NY

Past

January 16, 1995 - February 7, 1995

ROYAL PALM INVESTMENTS, LTD.

CRD#: 28761

GREEN ACRES, FL

Past

January 20, 1994 - October 25, 1994

WESTFIELD FINANCIAL CORPORATION

CRD#: 8143

NEW YORK, NY

Past

July 10, 1993 - November 18, 1993

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

January 7, 1993 - January 20, 1993

ADVANCED EQUITY GROUP, INC.

CRD#: 13873

Past

January 7, 1993 - March 16, 1993

REICH & CO., INC.

CRD#: 19611

Past

January 7, 1993 - July 23, 1993

WESTFIELD FINANCIAL CORPORATION

CRD#: 8143

NEW YORK, NY

State Registrations and Notice Filings

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

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

New York
(11/10/2009)

Exams

State Security Law Exam

IAR

Series 66

Date: 11/9/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/7/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/3/1992

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

KBD SECURITIES, LLC

CRD#: 104110 / SEC#: , 8-52591

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

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Contact information

Main Address

470 Park Avenue South 8th Floor South, New York, NY 10016

Mailing Address

470 Park Avenue South 8th Floor South, New York, NY 10016

Phone number

(914) 703-6904

Established

New York since 03/23/2000

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (8 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
HORIZON KINETICS, LLC	PARENT COMPANY
BELL, CHRISTOPHER DUNCAN	CEO, CFO, DESIGNATED PRINCIPAL, FINOP	1479836
DOYLE, JAMES GANNON	CHIEF COMPLIANCE OFFICER & DESIGNATED PRINCIPAL	4189586
KESSLEN, JAY HARRIS	GENERAL COUNSEL, SVP, AML OFFICER	4335392
WILLIAMS, ALUN L	OPERATIONS PROFESSIONAL	4331633

Red Flags

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Firm Stability Insights

Marc D. Schumacher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marc David Schumacher's CRS (Customer Relationship Summary).

Certified licenses

Experience

KELMOORE INVESTMENT COMPANY, INC.

KBD SECURITIES, LLC

JOSEPHTHAL & CO., INC.

CASTLE SECURITIES CORP.

FIRST ASSET MANAGEMENT, INC.

ROYAL PALM INVESTMENTS, LTD.

WESTFIELD FINANCIAL CORPORATION

JOSEPHTHAL & CO., INC.

ADVANCED EQUITY GROUP, INC.

REICH & CO., INC.

WESTFIELD FINANCIAL CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 11/9/2009

Series 63

Date: 1/7/1993

SIE

Date: 10/1/2018

Series 7

Date: 12/3/1992

FINRA

Current Firm

KBD SECURITIES, LLC

Contact information

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

KBD SECURITIES, LLC

TRUST BUT VERIFY

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