Marc Y. Blot
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 Yvan Blot was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1997. Marc had worked at 11 firms and has passed the Series 63, Series 7TO, SIE, Series 7 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
November 16, 2017 - November 2, 2021
THE ROCKWELL FINANCIAL GROUP, INC.
November 6, 2009 - November 13, 2017
NATIONAL SECURITIES CORPORATION
August 13, 2008 - December 7, 2009
REID & RUDIGER LLC
August 26, 2004 - August 25, 2008
GUNNALLEN FINANCIAL, INC
June 4, 2002 - April 8, 2003
REID & RUDIGER LLC
July 20, 2001 - June 5, 2002
J.P. TURNER & COMPANY, L.L.C.
November 28, 2000 - August 3, 2001
FIRST PROVIDENCE FINANCIAL GROUP, LLC
July 12, 2000 - October 31, 2000
EASTBROOK CAPITAL GROUP LLC
December 20, 1999 - July 13, 2000
J.P. TURNER & COMPANY, L.L.C.
October 8, 1999 - November 19, 1999
SUNPOINT SECURITIES, INC.
September 30, 1998 - November 9, 1999
PLATINUM EQUITIES, INC.
February 6, 1998 - October 8, 1998
BRIARWOOD INVESTMENT COUNSEL
November 24, 1997 - January 30, 1998
NICHOLS, SAFINA, LERNER & CO. INC.
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 7TO
Date: 3/27/2024
General Securities Representative ExaminationCurrent Firm
THE ROCKWELL FINANCIAL GROUP, INC.
CRD#: 26153 / SEC#: , 8-42399
Contact information
FINRA licenses (25 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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