Marc E. Carlson
Professional summary
Marc Edward Carlson is a registered financial professional currently at OBERWEIS SECURITIES, INC. located in Lisle, Illinois.
Marc is registered as a RR (Registered Representative) and started their career in finance in 2001. Marc has worked at 3 firms and has passed the Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Marc Edward Carlson's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 11, 2020 - Present
OBERWEIS SECURITIES, INC.
Office #1: 3333 Warrenville Road Suite 500, Lisle, IL 60532Office #2: 3333 Warrenville Road Suite 500, Lisle, IL 60532May 23, 2005 - January 14, 2016
TCW FUNDS DISTRIBUTORS LLC
February 27, 2001 - March 14, 2005
NORTHERN TRUST SECURITIES, 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
(8/12/2020)
Exams
Series 6TO
Date: 3/11/2020
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
OBERWEIS SECURITIES, INC.
CRD#: 42060 / SEC#: , 8-49679
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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