Marcus G. Laun
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.
Marcus Goetz Laun, who also goes by Marcus Laun, was a registered financial professional .
Marcus is a previously registered financial professional and started their career in finance in 1997. Marcus had worked at 6 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 20, 2011 - February 6, 2012
CHARDAN CAPITAL MARKETS LLC
January 29, 2009 - March 8, 2011
WYNSTON HILL CAPITAL, LLC
March 22, 2005 - November 6, 2008
KNIGHT CAPITAL MARKETS LLC
December 17, 2004 - October 11, 2005
KNIGHT CAPITAL AMERICAS, L.P.
May 6, 1999 - January 11, 2000
BREAN MURRAY & CO., INC.
July 16, 1997 - May 10, 1999
GREENWICH HIGH YIELD 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
Current Firm
CHARDAN CAPITAL MARKETS LLC
CRD#: 120128 / SEC#: , 8-65277
Contact information
FINRA licenses (40 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARDAN SECURITIES, LLC | MEMBER | |
| GROSSMAN, JONAS SVEN MAGNUS | PRESIDENT | 3186901 |
| MILLER, ANDREW DAVID | FINOP | 5106774 |
| MILLER, ANDREW DAVID | PRINCIPAL OPERATIONS CFFICER | 5106774 |
| MILLER, ANDREW DAVID | PRINCIPAL FINANCIAL OFFICER | 5106774 |
| SOUTHWICK, DWIGHT CHRISTIAN | CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER | 1353036 |
| URBACH, STEVEN AARON | CEO | 4137317 |
Disclosures
| Regulatory Event | 14 |
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.
