Marc A. Bessler
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 Adam Bessler was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1996. Marc had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2002 - December 6, 2002
GRANTA CAPITAL GROUP LLC
July 9, 2001 - March 12, 2002
U.S. SECURITIES & FUTURES CORP.
December 19, 2000 - July 18, 2001
MERIT CAPITAL ASSOCIATES, INC.
June 21, 2000 - November 13, 2000
GKN SECURITIES CORP.
January 18, 2000 - June 19, 2000
WINDSOR STREET CAPITAL, LP
July 14, 1998 - January 18, 2000
ROAN CAPITAL PARTNERS L.P.
January 28, 1998 - May 19, 1998
ROBERT THOMAS SECURITIES, INC
June 18, 1996 - February 5, 1998
ROAN CAPITAL PARTNERS L.P.
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
GRANTA CAPITAL GROUP LLC
CRD#: 114657 / SEC#: , 8-53430
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SKY CAPITAL HOLDINGS LTD. | HOLDING COMPANY | |
| BOLOGNA, STEPHEN JOHN | HEAD EQUITIES TRADER | 2571478 |
| DUFFY, FRANCIS THOMAS | SROP/CROP/FINOP/CHIEF FINANCIAL OFFICER | 500206 |
| GOSS, ROBERT LEWIS | CHIEF COMPLIANCE OFFICER | 226258 |
| SHEA, STEPHEN WILLIAM | CHIEF OPERATING OFFICER | 2884781 |
| SHEA, STEPHEN WILLIAM | ACTING INTERIM PRESIDENT | 2884781 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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