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Michael J. Marek

Some features on this profile are disabled
CRD#: 2826534
MM

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.

Michael James Marek was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 62, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

July 6, 2015 - July 10, 2015

MCP SECURITIES, LLC

BD
CRD#: 152669
PORT WASHINGTON, NY
Past

December 1, 2010 - June 26, 2015

MCP SECURITIES, LLC

BD
CRD#: 152669
CHICAGO, IL
Past

September 14, 2006 - October 9, 2009

ROMANO BROTHERS AND COMPANY

BD
CRD#: 3215
EVANSTON, IL
Past

October 1, 1997 - August 21, 2006

KROLL SECURITIES LLC

BD
CRD#: 36927
CHICAGO, IL

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: 5/21/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/10/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 10/15/2010
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 5/10/2007
Corporate Securities Limited Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/16/2007
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 4/30/1997
Financial and Operations Principal Examination

Current Firm

MS
MCP SECURITIES, LLC
COGNIENT SECURITIES, LLC | VALOREM ESTATE INVESTMENTS, LLC | MCP SECURITIES, LLC

CRD#: 152669 / SEC#: , 8-68473

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
76 Ivy Way, Port Washington, NY 11050
Mailing Address
76 Ivy Way, Port Washington, NY 11050
Phone number
(646) 380-4470
Established
Delaware since 12/11/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (41 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#
MCCARVILL CAPITAL PARTNERS, LLCSOLE MEMBER
FIALA, ANGELA MARIAFINOP, POO, PFO5163386
MCCARVILL, JAMES JOHNCEO, CHIEF COMPLIANCE OFFICER2356333

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

MCP SECURITIES, LLC

CRD#: 152669

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