Marc M. Muller

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CRD#: 2765427

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 M Muller, who also goes by M Marc Muller, M Marcus Muller, Marlow Marcus Muller, was a registered financial professional .

Marc is a previously registered financial professional and started their career in finance in 1996. Marc had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

M Marc Muller | M Marcus Muller | Marlow Marcus Muller

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

February 14, 2017 - April 18, 2017

AX TRADING, LLC

CRD#: 154702

NEW YORK, NY

Past

May 29, 2015 - July 7, 2016

TS IMAGINE BROKERAGE SERVICES, LLC

CRD#: 146283

New York, NY

Past

June 22, 2012 - November 7, 2014

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

July 10, 2010 - January 10, 2012

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

NEW YORK, NY

Past

August 17, 2009 - July 19, 2010

THOMAS WEISEL PARTNERS LLC

CRD#: 46237

NEW YORK, NY

Past

October 1, 2008 - August 7, 2009

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

June 13, 2001 - June 4, 2008

UBS SECURITIES LLC

CRD#: 7654

STAMFORD, CT

Past

November 6, 2000 - July 12, 2001

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

April 7, 1998 - November 6, 2000

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

CRD#: 37819

HARTFORD, CT

Past

August 20, 1996 - March 19, 1998

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

IAR

Series 65

Date: 9/26/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/26/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/18/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/30/2009

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 10/11/2006

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/19/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/8/2004

General Securities Principal Examination

Current Firm

AX TRADING, LLC

AX TRADING, LLC | X41 TRADING, LLC

CRD#: 154702 / SEC#: , 8-68667

Terminated by SEC on 06/06/2021

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 05/26/2010

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
AX TRADING GROUP, INC	ACTIVE
MEGENITY, BRIAN MCDONALD	CFO, FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER	2889637
OKREPKIE, RALPH GEORGE	CEO, CCO	2429667

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.

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Advisor Monitoring

Firm Stability Insights

Marc M. Muller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TS IMAGINE BROKERAGE SERVICES, LLC

BNP PARIBAS SECURITIES CORP.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

THOMAS WEISEL PARTNERS LLC

RBC CAPITAL MARKETS, LLC

UBS SECURITIES LLC

HIMCO DISTRIBUTION SERVICES COMPANY

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/26/1996

Series 63

Date: 8/26/1996

SIE

Date: 4/18/2017

Series 3

Date: 10/30/2009

Series 55

Date: 10/11/2006

Series 7

Date: 8/19/1996

Series 24

Date: 4/8/2004

Current Firm

AX TRADING, LLC

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

AX TRADING, LLC

TRUST BUT VERIFY

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