Joel W. Marcus
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.
Joel W Marcus, who also goes by Joel Wayne Marcus, was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1997. Joel had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2016 - January 18, 2019
PERSHING ADVISOR SOLUTIONS LLC
April 25, 2016 - September 22, 2016
ADVISORY SOLUTIONS USA, LLC
December 21, 2015 - September 21, 2016
PURSHE KAPLAN STERLING INVESTMENTS
December 4, 2013 - March 6, 2014
CAPITAL BROKERAGE CORPORATION
June 25, 2013 - March 6, 2014
ASSETMARK, INC.
May 8, 2013 - November 19, 2013
CAPITAL BROKERAGE CORPORATION
January 9, 2008 - April 12, 2013
FIDELITY BROKERAGE SERVICES LLC
December 13, 2000 - April 23, 2007
CHARLES SCHWAB & CO., INC.
May 10, 1999 - December 13, 1999
FINANCIAL WEST GROUP
September 24, 1998 - May 12, 1999
EQIS SECURITIES, LLC
June 4, 1997 - August 27, 1998
MORGAN STANLEY DW 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
Current Firm
PERSHING ADVISOR SOLUTIONS LLC
CRD#: 36671 / SEC#: , 8-47425
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAS HOLDINGS LLC | HOLDING COMPANY | |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| HARRISON, BENJAMIN WARD | BOARD MEMBER, HEAD OF THE BUSINESS | 3121159 |
| KEARNEY, JAMES FRANCIS III | CHIEF RISK OFFICER (CRO) | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER | 5177277 |
| MUTTERER, FRANK PAUL | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2088419 |
| WEISS, NINA KATE | CHIEF COMPLIANCE OFFICER (CCO), BOARD MEMBER | 2642331 |
Disclosures
| Regulatory Event | 17 |
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.
