Marc B. Weinberger
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 Bennett Weinberger was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1994. Marc had worked at 15 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, SIE, Series 55, 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
August 25, 2022 - August 4, 2025
LADENBURG THALMANN ASSET MANAGEMENT INC
December 20, 2011 - August 4, 2025
LADENBURG THALMANN & CO. INC.
January 19, 2011 - December 19, 2011
KERN, SUSLOW SECURITIES, INC.
February 9, 2010 - November 15, 2010
GENESIS SECURITIES, LLC
August 3, 2009 - October 14, 2009
KOYOTE TRADING LLC
May 15, 2009 - January 4, 2010
SCHOTTENFELD GROUP LLC
April 21, 2008 - September 1, 2008
NEWEDGE FINANCIAL INC.
April 21, 2008 - May 14, 2009
NEWEDGE USA, LLC
January 22, 2007 - April 24, 2008
LEDGEMONT CAPITAL MARKETS LLC
June 30, 2005 - November 28, 2006
SANDERS MORRIS LLC
July 8, 2004 - July 1, 2005
SCHOTTENFELD GROUP LLC
April 10, 2000 - July 6, 2004
PUGLISI & CO.
August 21, 1997 - April 10, 2000
BEECH HILL SECURITIES, INC.
April 19, 1995 - June 19, 1996
BARRON CHASE SECURITIES, INC.
February 14, 1995 - April 21, 1995
J.P. MORGAN SECURITIES LLC
August 8, 1994 - June 29, 1995
D. BLECH & COMPANY, INCORPORATED
Primary Firm SEC Registration
LADENBURG THALMANN ASSET MANAGEMENT INC
CRD#: 108604 / SEC#: 801-54909
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/6/2000
Limited Representative-Equity Trader ExamCurrent Firm
LADENBURG THALMANN ASSET MANAGEMENT INC
CRD#: 108604 / SEC#: 801-54909
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 3,334 |
| AUM (Assets Under Management) | $ 5,611,078,759 |
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.
