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MS

Marc J. Stuzynski

Some features on this profile are disabled
CRD#: 2284589
MS

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 J Stuzynski, who also goes by Marc Joseph Stuzynski, was a registered financial professional .

Marc is a previously registered financial professional and started their career in finance in 1992. Marc had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Marc Joseph Stuzynski

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

March 11, 2014 - March 9, 2017

MISCHLER FINANCIAL GROUP, INC.

BD
CRD#: 37818
North Andover, MA
Past

August 16, 2012 - March 10, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
BOSTON, MA
Past

June 28, 2012 - March 10, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
BOSTON, MA
Past

July 8, 2003 - April 13, 2012

CANACCORD GENUITY LLC

BD
CRD#: 1020
BOSTON, MA
Past

November 7, 2002 - July 17, 2003

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

August 16, 2000 - August 9, 2002

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

February 8, 2000 - June 7, 2000

DEUTSCHE IXE, LLC

BD
CRD#: 7172
NEW YORK, NY
Past

December 3, 1998 - February 16, 2000

TULLETT LIBERTY BROKERAGE INC.

BD
CRD#: 19717
JERSEY CITY, NJ
Past

September 25, 1992 - December 9, 1998

DEALERWEB LLC

BD
CRD#: 19662
JERSEY CITY, NJ

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: 8/10/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/26/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/9/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 2/23/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/1/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/30/2008
General Securities Principal Examination

Current Firm

MF
MISCHLER FINANCIAL GROUP, INC.
DILTANA COMPANY, INC. | MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818 / SEC#: , 8-48067

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

Main Address
19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
Mailing Address
19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
Phone number
(949) 720-0640
Established
California since 11/22/1994
Firm type
Corporation
Fiscal year end
December
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#
CHAMBERLAIN, DEAN ARTHURCHIEF EXECUTIVE OFFICER / DIRECTOR/ CHAIRMAN2262338
HOLMES, DOYLE LAVERNPRESIDENT, CHIEF OPERATION OFFICER-FINOP, CHIEF COMPLIANCE OFFICER, DIRECTOR1556260
GTS FINANCIAL LLCOWNER

Disclosures

Regulatory Event6

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

MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818

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