Michael R. Marcus
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.
Michael Robert Marcus, who also goes by Michael R Marcus, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 12 firms and has passed the Series 63, Series 55, Series 7 and Series 24 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, 1999 - February 25, 2002
APEX CLEARING CORPORATION
August 30, 1999 - December 10, 1999
CROWN FINANCIAL GROUP, INC.
March 25, 1999 - June 29, 1999
NEUTRAL SWITCH, INC.
July 10, 1996 - May 20, 1999
MORGAN GRANT CAPITAL CORP.
February 13, 1996 - June 26, 1996
NATIONWIDE SECURITIES CORPORATION
July 31, 1995 - October 25, 1995
BUTTONWOOD SECURITIES, INC.
October 4, 1994 - March 31, 1995
A. T. BROD & CO. INC.
August 27, 1994 - October 11, 1994
CARTWRIGHT AND WALKER SECURITIES, INCORPORATED
May 27, 1994 - June 28, 1994
U.S. SECURITIES CLEARING CORP.
March 4, 1994 - March 28, 1994
BUTTONWOOD SECURITIES, INC.
December 7, 1993 - March 5, 1994
M. RIMSON & CO., INC.
June 7, 1993 - December 14, 1993
A.S. GOLDMEN & CO., INC.
March 12, 1993 - May 12, 1993
DUKE & CO., INC.
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 55
Date: 8/21/1998
Limited Representative-Equity Trader ExamCurrent Firm
APEX CLEARING CORPORATION
CRD#: 13071 / SEC#: , 8-23522
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APEX FINTECH SOLUTIONS INC. | SHAREHOLDER | |
| CAPUZZI, WILLIAM WALTER | CHIEF EXECUTIVE OFFICER | 4323894 |
| COUGHLIN, CONNOR DANIEL | CHIEF CUSTOMER OFFICER | 6665836 |
| DUCKWORTH, PAUL D | FINOP, PRINCIPAL FINANCIAL OFFICER | 3202937 |
| LOUIS-CHARLES, FRITZ | CHIEF OPERATIONS OFFICER (INCLUDES PRINCIPAL OPERATIONS OFFICER ROLE) | 3232698 |
| RAY, TERRY DAVID | CHIEF REVENUE OFFICER | 5295510 |
| TOURNEY, ROBERT ANDREW | CHIEF COMPLIANCE OFFICER | 6251742 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
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.
