Marshall I. Baron
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.
Marshall I Baron, who also goes by Marshall Ian Baron, was a registered financial professional .
Marshall is a previously registered financial professional and started their career in finance in 1993. Marshall had worked at 20 firms and has passed the Series 65, Series 63, SIE, Series 79, Series 3, Series 55, Series 7, Series 30, Series 53, Series 4 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 27, 2018 - March 5, 2019
KENSINGTON CAPITAL CORP.
November 12, 2015 - December 31, 2016
PRAGMA LLC
April 10, 2012 - November 22, 2013
PRIME CAPITAL SERVICES, INC.
May 13, 2011 - July 25, 2011
HALCYON CABOT PARTNERS, LTD.
June 6, 2008 - May 28, 2009
GROSSMAN & CO., LLC.
January 3, 2007 - April 24, 2007
EQUITY TRADING ONLINE, LLC
June 9, 2006 - August 2, 2006
OBEX SECURITIES LLC
March 15, 2004 - June 1, 2006
INTEGRAL CAPITAL GROUP, LLC
March 11, 2004 - May 30, 2006
EVOLUTION FINANCIAL TECHNOLOGIES, LLC
July 7, 2000 - March 10, 2004
TRACK DATA SECURITIES CORPORATION
January 12, 2000 - December 5, 2000
REVERE SECURITIES LLC
November 17, 1999 - January 5, 2000
HERBERT YOUNG SECURITIES, INC.
August 12, 1998 - June 1, 1999
MONTROSE CAPITAL MANAGEMENT LTD.
September 22, 1997 - August 7, 1998
PARKER BROMLEY LTD.
August 28, 1997 - September 25, 1997
ROYAL HUTTON SECURITIES CORP.
July 2, 1997 - September 2, 1997
THE HAMILTON-SHEA GROUP, INC.
May 9, 1996 - June 16, 1997
CHATFIELD DEAN & CO., INC.
October 24, 1994 - April 24, 1996
KENSINGTON WELLS INCORPORATED
March 7, 1994 - July 7, 1994
WESTFIELD FINANCIAL CORPORATION
February 4, 1993 - June 14, 1994
BEACON SECURITIES, 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: 12/4/2000
Limited Representative-Equity Trader ExamCurrent Firm
KENSINGTON CAPITAL CORP.
CRD#: 1742 / SEC#: , 8-28301
Contact information
FINRA licenses (8 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SILVER, MOSES M | CFO | 2276798 |
| SILVER, MOSES M | CHIEF AML OFFICER | 2276798 |
| SILVER, MOSES M | CHIEF EXECUTIVE OFFICER | 2276798 |
| SIMON, STUART | OPERATIONS MANAGER, CHIEF COMPLIANCE OFFICER | 2802977 |
| SIMON, STUART | OPTIOS PRINCIPAL | 2802977 |
| SILVER, ABRAM JOSEPH | OWNER | 1137930 |
| CIANTRO, PHILIP GERARD | FINOP | 2350685 |
| LEDERMAN, ELISHEVA MICHELLE | OPTIONS PRINCIPAL, EXECUTIVE REPRESENTATIVE | 2596584 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
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.
