Marat Fishman
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.
Marat Fishman, who also goes by Mark Fishman, was a registered financial professional .
Marat is a previously registered financial professional and started their career in finance in 1998. Marat had worked at 6 firms and has passed the Series 63 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
January 3, 2001 - October 14, 2002
THOR CAPITAL LLC
August 17, 1999 - December 22, 2000
LEEB BROKERAGE SERVICES, INC.
December 22, 1998 - October 12, 1999
J.W. BARCLAY & CO., INC.
September 17, 1998 - December 21, 1998
J. P. GIBBONS & CO., INC.
August 24, 1998 - September 1, 1998
JOSEPH GUNNAR & CO. LLC
April 29, 1998 - August 27, 1998
CONTINENTAL BROKER-DEALER CORP.
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
THOR CAPITAL LLC
CRD#: 45716 / SEC#: , 8-51141
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
