Marc B. Locker
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.
Marc Brian Locker, who also goes by Marc B Locker, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1996. Marc had worked at 6 firms and has passed the Series 63, Series 65, Series 55, Series 7, Series 53 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
January 9, 2014 - May 16, 2014
BLOOMBERG TRADEBOOK LLC
November 2, 2011 - March 15, 2012
WTS PROPRIETARY TRADING GROUP LLC
April 9, 2009 - December 3, 2009
ADP BROKER-DEALER, INC.
February 27, 2008 - December 1, 2008
FIDELITY BROKERAGE SERVICES LLC
May 1, 1998 - February 13, 2008
NATIONAL FINANCIAL SERVICES LLC
May 24, 1996 - April 6, 1998
REPUBLIC FINANCIAL SERVICES CORPORATION
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: 5/7/1999
Limited Representative-Equity Trader ExamCurrent Firm
BLOOMBERG TRADEBOOK LLC
CRD#: 40881 / SEC#: , 8-49219
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 9 |
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.
