Michael A. Marchese
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.
Michael Anthony Marchese was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 3, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2016 - April 18, 2017
MCAP LLC
May 31, 2011 - May 12, 2016
ACGM, INC.
September 20, 2010 - April 18, 2011
COHEN & COMPANY CAPITAL MARKETS, LLC
May 3, 2010 - October 4, 2010
COHEN & COMPANY SECURITIES, LLC
September 27, 2006 - April 30, 2010
PALI CAPITAL, INC.
April 30, 2002 - August 22, 2003
PALI CAPITAL, INC.
October 29, 1999 - April 30, 2002
PALI CAPITAL, LLC
June 7, 1999 - October 27, 1999
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
June 11, 1997 - April 20, 1999
ALLEN & COMPANY LLC
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 55
Date: 4/25/2007
Limited Representative-Equity Trader ExamCurrent Firm
MCAP LLC
CRD#: 139515 / SEC#: , 8-67217
Contact information
FINRA licenses (19 States and Territories)
Documents
Disclosures
| Regulatory Event | 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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