MG
Marc J. Gonyea
NUVEEN SECURITIES
New York, NY 10152
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CRD#: 2369553
MG
Professional summary
Marc James Gonyea is a registered financial professional currently at NUVEEN SECURITIES, LLC located in New York, New York.
Marc is registered as a RR (Registered Representative) and started their career in finance in 1993. Marc has worked at 7 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 3 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Marc James Gonyea's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 5, 2024 - Present
NUVEEN SECURITIES, LLC
Office #1: 375 Park Avenue, New York, NY 10152BD
CRD#: 469
New York, NY
Past
September 2, 2022 - May 13, 2024
FIRST LIBERTIES FINANCIAL
BD
CRD#: 14432
TAMPA, FL
Past
July 18, 2018 - August 12, 2022
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
October 2, 2007 - January 9, 2009
BLACKSTONE SECURITIES PARTNERS L.P.
BD
CRD#: 17917
NEW YORK, NY
Past
October 20, 1999 - February 6, 2004
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
September 23, 1993 - January 30, 1995
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
September 23, 1993 - January 24, 1996
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
BD
CRD#: 28262
BOSTON, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/16/2024)
RR
Alaska(8/16/2024)
RR
Arizona(8/16/2024)
RR
Arkansas(8/5/2024)
RR
California(8/16/2024)
RR
Colorado(8/16/2024)
RR
Connecticut(8/16/2024)
RR
Delaware(8/16/2024)
RR
District of Columbia(8/16/2024)
RR
Florida(8/16/2024)
RR
Georgia(8/16/2024)
RR
Hawaii(8/16/2024)
RR
Idaho(8/16/2024)
RR
Illinois(8/5/2024)
RR
Indiana(8/5/2024)
RR
Iowa(8/5/2024)
RR
Kansas(8/5/2024)
RR
Kentucky(8/5/2024)
RR
Louisiana(8/5/2024)
RR
Maine(8/16/2024)
RR
Maryland(8/16/2024)
RR
Massachusetts(8/16/2024)
RR
Michigan(8/5/2024)
RR
Minnesota(8/5/2024)
RR
Mississippi(8/5/2024)
RR
Missouri(8/5/2024)
RR
Montana(8/16/2024)
RR
Nebraska(8/5/2024)
RR
Nevada(8/16/2024)
RR
New Hampshire(8/16/2024)
RR
New Jersey(8/16/2024)
RR
New Mexico(8/16/2024)
RR
New York(8/16/2024)
RR
North Carolina(8/16/2024)
RR
North Dakota(8/5/2024)
RR
Ohio(8/5/2024)
RR
Oklahoma(8/5/2024)
RR
Oregon(8/16/2024)
RR
Pennsylvania(8/16/2024)
RR
Puerto Rico(8/16/2024)
RR
Rhode Island(8/16/2024)
RR
South Carolina(8/16/2024)
RR
South Dakota(8/5/2024)
RR
Tennessee(8/5/2024)
RR
Texas(8/5/2024)
RR
Utah(8/16/2024)
RR
Vermont(8/16/2024)
RR
Virgin Islands(8/16/2024)
RR
Virginia(8/16/2024)
RR
Washington(8/16/2024)
RR
West Virginia(8/16/2024)
RR
Wisconsin(8/5/2024)
RR
Wyoming(8/16/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NUVEEN SECURITIES, LLC
JOHN NUVEEN & CO., INCORPORATED | NUVEEN SECURITIES, LLC | NUVEEN SECURITIES - USED ON SALES AND MARKETING LITERATURE | NUVEEN INVESTMENTS, LLC | NUVEEN INVESTMENTS
CRD#: 469 / SEC#: , 8-13464
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
333 West Wacker Drive, Chicago, IL 60606-1286
Mailing Address
333 West Wacker Drive, Chicago, IL 60606-1286
Phone number
(312) 917-7700
Established
Delaware since 09/07/1967
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| 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.
