Marcy W. Steward
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.
Marcy Weston Steward, who also goes by Marcy A Weston, Marcy Ann Weston, Marcy Ann Weston Steward, was a registered financial professional .
Marcy is a previously registered financial professional and started their career in finance in 1997. Marcy had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 51 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
May 2, 2008 - September 30, 2008
VIRTUS SECURITIES, LLC
February 9, 2007 - December 4, 2009
REGAL SECURITIES, INC.
August 31, 2006 - December 31, 2006
SAMCO FINANCIAL SERVICES, INC.
March 11, 2005 - December 12, 2018
WATERLOO CAPITAL
September 10, 2004 - March 29, 2006
FSC SECURITIES CORPORATION
September 10, 2004 - September 20, 2006
FSC SECURITIES CORPORATION
February 20, 1997 - September 14, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 28, 1997 - September 14, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
VIRTUS SECURITIES, LLC
CRD#: 146016 / SEC#: , 8-67775
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SEQUOIA SECURITIES HOLDINGS, LLC | MEMBER | |
| DMK FINANCIAL HOLDINGS, LLC | MEMBER | |
| KONITS, DAVID MATTHEW | PRESIDENT, CCO/FINOP | 2531617 |
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.
