Marc A. Sperling
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 A Sperling, who also goes by Marc Andrew Sperling, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1994. Marc had worked at 8 firms and has passed the Series 63, Series 57TO, Series 7TO, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2022 - September 6, 2023
CHIMERA SECURITIES, LLC
November 1, 2021 - March 1, 2022
C2M SECURITIES, LLC
May 10, 2011 - October 28, 2019
T3 TRADING GROUP, LLC
April 13, 2006 - October 3, 2007
WHEATLEY CAPITAL SERIES FUND LLC
December 19, 2002 - August 1, 2007
LIGHTSPEED TRADING, LLC
August 30, 2002 - December 31, 2002
SCHONFELD SECURITIES, LLC
May 24, 2001 - September 16, 2002
BROADWAY TRADING, LLC
April 13, 1994 - September 13, 1996
AMERIPRISE ADVISOR SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 8
Date: 3/14/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHIMERA SECURITIES, LLC
CRD#: 147566 / SEC#: , 8-67915
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
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