Jeffrey S. 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.
Jeffrey Scott Marcus, who also goes by Jeff Scott Marcus, Jeffrey S Marcus, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1998. Jeffrey had worked at 13 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 4 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
June 22, 2017 - May 27, 2020
CFWP SECURITIES, LLC
June 22, 2017 - September 17, 2020
CASTLEOAK SECURITIES, LP
June 22, 2017 - July 1, 2021
SUNRISE BROKERS LLC
June 22, 2017 - March 12, 2026
GFI SECURITIES LLC
June 22, 2017 - March 12, 2026
FMX EXECUTION, LLC
May 17, 2017 - March 12, 2026
CF SECURED, LLC
October 24, 2012 - November 18, 2022
AQUA SECURITIES L.P.
October 24, 2012 - October 24, 2023
MINT BROKERS
October 24, 2012 - March 12, 2026
BGC FINANCIAL, L.P.
May 17, 2010 - March 12, 2026
CANTOR FITZGERALD & CO.
August 7, 2009 - March 26, 2010
BNP PARIBAS PRIME BROKERAGE, INC.
October 24, 2002 - July 11, 2008
J.P. MORGAN CLEARING CORP.
October 24, 2002 - July 11, 2008
J.P. MORGAN SECURITIES LLC
May 26, 1998 - March 29, 2001
J.P. MORGAN SECURITIES LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CFWP SECURITIES, LLC
CRD#: 170228 / SEC#: , 8-69415
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANTOR FITZGERALD WEALTH PARTNERS HOLDINGS, LLC | PARENT COMPANY | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| KAPLAN, MARK ELLIOT | CHIEF EXECUTIVE OFFICER | 2618079 |
| PAULSON, KENNETH MICHAEL | CHIEF FINANCIAL OFFICER | 2862259 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
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.
