David F. Marcus
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.
David Frederick Marcus was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1995. David had worked at 6 firms and has passed the Series 63, Series 65, Series 66, SIE, Series 7, Series 32, Series 17 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
October 29, 2018 - October 10, 2019
WEILD & CO.
January 13, 2011 - November 16, 2016
E*TRADE SECURITIES LLC
November 16, 2009 - July 29, 2010
W.R. HAMBRECHT + CO., LLC
December 11, 2007 - January 3, 2011
W.R. HAMBRECHT + CO., LLC
June 19, 2007 - December 31, 2007
HAMBRECHT CAPITAL PARTNERS, LLC
July 22, 2002 - January 6, 2004
LEHMAN BROTHERS INC.
May 11, 1995 - April 9, 1996
ING BARING (U.S.) 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 17
Date: 2/7/1995
Limited Registered Representative ExaminationCurrent Firm
WEILD & CO.
CRD#: 132398 / SEC#: , 8-66593
Contact information
FINRA licenses (52 States and Territories)
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.
