Matthew D. Ferguson
Professional summary
Matthew Day Ferguson, who also goes by Matthew Day Ferguson, is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in New York, New York.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 1996. Matthew has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Matthew Day Ferguson's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 1, 2023 - Present
MAREX CAPITAL MARKETS INC.
Office #1: 140 East 45th Street 10th Floor, New York, NY 10017October 24, 2019 - December 12, 2023
COWEN AND COMPANY
May 6, 2014 - July 21, 2020
COWEN EXECUTION SERVICES LLC
November 2, 2011 - May 2, 2014
FM PARTNERS HOLDINGS LLC
March 13, 2000 - November 1, 2011
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
September 3, 1996 - February 29, 2000
SCHONFELD SECURITIES, LLC
January 10, 1996 - August 8, 1996
D. H. BLAIR & CO., 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
(12/1/2023)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/5/2000
Limited Representative-Equity Trader ExamCboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
Red Flags
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