Marc Greenberg
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.
Marc Greenberg was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1998. Marc had worked at 9 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 52TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 24, Series 10, Series 9, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2016 - October 5, 2021
J.H. DARBIE & CO., INC.
February 16, 2012 - November 30, 2016
LEGEND SECURITIES, INC.
December 17, 2007 - December 21, 2011
JOHN THOMAS FINANCIAL
February 28, 2007 - December 19, 2007
PALLADIUM CAPITAL GROUP, LLC
January 3, 2007 - February 2, 2007
POND EQUITIES
May 6, 2004 - January 4, 2005
SPENCER-WINSTON SECURITIES CORPORATION
March 5, 2001 - April 19, 2002
SCHONFELD SECURITIES, LLC
September 1, 1998 - March 7, 2001
SSI SECURITIES CORP.
August 13, 1998 - January 2, 2001
GKN SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/11/2024
General Securities Representative ExaminationSeries 79TO
Date: 3/11/2024
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 3/11/2024
Municipal Securities Representative ExaminationSeries 99TO
Date: 3/11/2024
Operations Professional ExaminationSeries 57TO
Date: 3/11/2024
Securities Trader ExamSeries 55
Date: 12/19/2000
Limited Representative-Equity Trader ExamCurrent Firm
J.H. DARBIE & CO., INC.
CRD#: 43520 / SEC#: , 8-50335
Contact information
FINRA licenses (46 States and Territories)
Disclosures
| Regulatory Event | 10 |
| Civil Event | 1 |
| Arbitration | 1 |
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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