Marc G. Levesque
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 Guy Levesque MR, who also goes by Marc Levesque, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1992. Marc had worked at 6 firms and has passed the Series 63, SIE, 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
January 12, 2006 - November 17, 2014
COMMONWEALTH AUSTRALIA SECURITIES LLC
April 23, 2003 - April 21, 2005
INTESA SANPAOLO IMI SECURITIES CORP.
September 6, 2000 - November 14, 2002
MUFG SECURITIES AMERICAS INC.
January 27, 1997 - February 26, 1999
COWEN AND COMPANY
July 12, 1994 - September 26, 1995
CREDIT AGRICOLE SECURITIES (USA) INC.
December 23, 1992 - May 21, 1993
TD SECURITIES (USA) LLC
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
Current Firm
COMMONWEALTH AUSTRALIA SECURITIES LLC
CRD#: 136321 / SEC#: , 8-66998
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMONWEALTH BANK 0F AUSTRALIA | SOLE MEMBER | |
| FELDMAN, RICHARD MARK | PFO | 2273453 |
| LAWRENCE, LARRY O | CEO | 4237420 |
| POULTON, JAYSON ALAN | CFO & POO | 6738733 |
| VARALLI MCCLELLAND, ANN LOUISE | PRINCIPAL - FIXED INCOME | 1043191 |
| WALSH, PAUL ROBERT | CHIEF COMPLIANCE OFFICER | 3189041 |
| WINTERS, JENNIFER | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2604316 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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