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JM

John M. Marek

Some features on this profile are disabled
CRD#: 2263166
JM

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.

John Martin Marek JR, who also goes by John Martin Marek, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1993. John had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Martin Marek

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

July 21, 2017 - November 17, 2021

ASL CAPITAL MARKETS INC.

BD
CRD#: 286115
STAMFORD, CT
Past

October 14, 2014 - October 1, 2015

SANTANDER US CAPITAL MARKETS LLC

BD
CRD#: 150696
NEW YORK, NY
Past

March 27, 2013 - October 14, 2014

AMHERST SECURITIES GROUP, L.P.

BD
CRD#: 31141
NEW YORK, NY
Past

January 4, 2010 - September 28, 2012

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

January 26, 2004 - October 29, 2008

COUNTRYWIDE SECURITIES CORPORATION

BD
CRD#: 10598
CALABASAS, CA
Past

March 22, 2000 - January 8, 2004

NEWEDGE USA, LLC

BD
CRD#: 36118
CHICAGO, IL
Past

June 29, 1998 - March 9, 1999

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

September 2, 1997 - June 29, 1998

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

January 3, 1995 - September 2, 1997

SBC WARBURG, INC.

BD
CRD#: 23745
NEW YORK, NY
Past

January 7, 1994 - January 3, 1995

SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.

BD
CRD#: 4341
NEW YORK, NY
Past

April 7, 1993 - January 10, 1994

SBC WARBURG, INC.

BD
CRD#: 23745
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
RR
Series 63
Date: 6/13/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/20/1994
General Securities Representative Examination

Current Firm

AC
ASL CAPITAL MARKETS INC.
ASL CAPITAL MARKETS INC.

CRD#: 286115 / SEC#: , 8-69872

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

Main Address
600 Summer Street Suite 402, Stamford, CT 06901
Mailing Address
600 Summer Street Suite 402, Stamford, CT 06901
Phone number
(203) 388-2940
Established
Delaware since 09/20/2016
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ALADIN SECURED LENDING INCSOLE SHAREHOLDER
GERHARD, EVAN NATHANIELCEO AND PRESIDENT4703417
NEILL, JAMES KERBYCCO6571606
TUITE, ROBERT KEVINCFO/FINOP2862493

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

ASL CAPITAL MARKETS INC.

CRD#: 286115

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