Steven R. Marcus

RAYMOND JAMES (USA) LTD.

Vancouver, Bc, V6C 3L2

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CRD#: 2820004

Professional summary

Steven Robert Marcus, who also goes by Steven Marcus, is a registered financial professional currently at RAYMOND JAMES (USA) LTD. .

Steven is registered as a RR (Registered Representative) and started their career in finance in 1997. Steven has worked at 9 firms and has passed the Series 63, Series 57TO, Series 79TO, Series 99TO, SIE, Series 25, Series 55, Series 7, Series 14, Series 4, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steven Marcus

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) - BD

Click below to view Steven Robert Marcus's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

October 18, 2012 - Present

RAYMOND JAMES (USA) LTD.

Office #1: Suite 2100 925 West Georgia Street, Vancouver, Bc, V6C 3L2Office #2: 925 West Georgia Street Suite 2100b, Vancouver, British Columbia, V6C 3L2Office #3: 925 West Georgia Street - 2100, Vancouver, B.c., V6C 3L2

RIA

CRD#: 25853

Vancouver, Bc,

Past

June 24, 2008 - November 14, 2008

SARATOGA CAPITAL MARKETS

CRD#: 120888

NEW YORK, NY

Past

September 14, 2004 - June 2, 2008

BROWN BROTHERS HARRIMAN & CO.

CRD#: 104487

NEW YORK, NY

Past

December 4, 2001 - July 2, 2012

DME SECURITIES, LLC

CRD#: 112584

NEW YORK, NY

Past

November 6, 2001 - November 21, 2001

ELIAS, DAVID MITCHELL

CRD#: 104205

NEW YORK, NY

Past

July 15, 1999 - September 4, 2001

PROGRAM TRADING CORP.

CRD#: 36740

BOCA RATON, FL

Past

May 28, 1999 - July 15, 1999

ON-SITE TRADING, INC.

CRD#: 30271

GREAT NECK, NY

Past

March 25, 1999 - May 24, 1999

PROPP & COMPANY, INC.

CRD#: 3094

NEW YORK, NY

Past

March 21, 1997 - October 24, 1997

MIDWOOD SECURITIES, INC.

CRD#: 21520

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RAYMOND JAMES (USA) LTD.

GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.

CRD#: 25853 / SEC#: 801-72137, 8-42071

RIA

Registered Investment Advisory firm - SEC (2/10/2011 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/18/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 25

Date: 2/20/2003

NYSE Trading Assistant Examination

General Industry/Product Exam

Series 55

Date: 6/16/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 1/8/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 4

Date: 10/29/2013

Registered Options Principal Examination

Principal/Supervisory Exam

Series 27

Date: 7/11/2009

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/9/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

RAYMOND JAMES (USA) LTD.

GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.

CRD#: 25853 / SEC#: 801-72137, 8-42071

RIA

Registered Investment Advisory firm - SEC (2/10/2011 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

925 West Georgia Street - 2100, Vancouver, V6C3L2

Mailing Address

925 West Georgia Street - 2100, Vancouver, B.c., V6C 3L2

Phone number

(604) 659-8200

Established

Firm type

Corporation

Fiscal year end

September

Firm Size

Medium

# of Employees

165

SEC notice filing (31 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

RJLU WRAP FEE BROCHURE DECEMBER 2023 (12/5/2024)

Direct owners and executive officers

Name	Position	CRD#
RAYMOND JAMES LTD.	OWNER
AYYUB, HARRIS	SR. MANAGER & CHIEF COMPLIANCE OFFICER (ACTING)	7789868
BALEZENTIS, PATRICIA	DIRECTOR	2262711
BARKO, SHAWN JOSEPH	DIRECTOR	2690394
BOYLE, SEAN PATRICK	DIRECTOR	5517025
LIM, CHRISTOPHER JOHN	CHIEF FINANCIAL OFFICER	6090679
MARCUS, STEVEN ROBERT	DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER	2820004
SERBANOS, EFSTRATIOS MICHAEL	GENERAL COUNSEL	2267667

Regulatory assets under management

Total Number of Accounts	3,811
AUM (Assets Under Management)	$ 1,544,291,655

Disclosures

Regulatory Event

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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Firm Stability Insights

Steven R. Marcus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Robert Marcus's CRS (Customer Relationship Summary).

Certified licenses

Experience

SARATOGA CAPITAL MARKETS

BROWN BROTHERS HARRIMAN & CO.

DME SECURITIES, LLC

ELIAS, DAVID MITCHELL

PROGRAM TRADING CORP.

ON-SITE TRADING, INC.

PROPP & COMPANY, INC.

MIDWOOD SECURITIES, INC.

Primary Firm SEC Registration

RAYMOND JAMES (USA) LTD.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/18/1997

Series 57TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 25

Date: 2/20/2003

Series 55

Date: 6/16/1999

Series 7

Date: 1/8/1997

Series 14

Date: 1/2/2023

Series 4

Date: 10/29/2013

Series 27

Date: 7/11/2009

Series 24

Date: 11/9/2007

FINRA

Current Firm

RAYMOND JAMES (USA) LTD.

Contact information

SEC notice filing (31 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

RAYMOND JAMES (USA) LTD.

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