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Marcus G. Laun

Some features on this profile are disabled
CRD#: 2633242
ML

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

Are you a "fiduciary"?
No

Aliases

Marcus Laun

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 20, 2011 - February 6, 2012

CHARDAN CAPITAL MARKETS LLC

BD
CRD#: 120128
NEW YORK, NY
Past

January 29, 2009 - March 8, 2011

WYNSTON HILL CAPITAL, LLC

BD
CRD#: 103811
NEW YORK, NY
Past

March 22, 2005 - November 6, 2008

KNIGHT CAPITAL MARKETS LLC

BD
CRD#: 38379
PURCHASE, NY
Past

December 17, 2004 - October 11, 2005

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ
Past

May 6, 1999 - January 11, 2000

BREAN MURRAY & CO., INC.

BD
CRD#: 7541
NEW YORK, NY
Past

July 16, 1997 - May 10, 1999

GREENWICH HIGH YIELD LLC

BD
CRD#: 38213
DARIEN, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/13/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/16/2004
General Securities Representative Examination

Current Firm

CC
CHARDAN CAPITAL MARKETS LLC
CHARDAN | THE GRAMERCY GROUP, LLC | CHARDAN CAPITAL MARKETS LLC | CHARDAN CAPITAL MARKETS

CRD#: 120128 / SEC#: , 8-65277

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1 Pennsylvania Plaza Suite 4800, New York, NY 10119
Mailing Address
1 Pennsylvania Plaza Suite 4800, New York, NY 10119
Phone number
(646) 465-9000
Established
New York since 03/05/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CHARDAN SECURITIES, LLCMEMBER
GROSSMAN, JONAS SVEN MAGNUSPRESIDENT3186901
MILLER, ANDREW DAVIDFINOP5106774
MILLER, ANDREW DAVIDPRINCIPAL OPERATIONS CFFICER5106774
MILLER, ANDREW DAVIDPRINCIPAL FINANCIAL OFFICER5106774
SOUTHWICK, DWIGHT CHRISTIANCHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER1353036
URBACH, STEVEN AARONCEO4137317

Disclosures

Regulatory Event14

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.

Company Information

CHARDAN CAPITAL MARKETS LLC

CRD#: 120128

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