Alan D. 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.
Alan David Marcus was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1974. Alan had worked at 16 firms and has passed the Series 55 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2009 - March 1, 2010
SCOTTSDALE CAPITAL ADVISORS CORP
October 3, 2008 - June 30, 2009
MARTINEZ-AYME SECURITIES
September 8, 2008 - October 3, 2008
FOUR POINTS CAPITAL PARTNERS LLC
July 3, 2008 - August 25, 2008
CELADON FINANCIAL GROUP LLC
January 3, 2003 - July 1, 2008
NEWBRIDGE SECURITIES CORPORATION
September 20, 2002 - January 2, 2003
GLOBAL PARTNERS SECURITIES INC.
September 13, 1999 - October 25, 2002
NORTH AMERICAN INSTITUTIONAL BROKERS
June 28, 1999 - November 9, 1999
LADENBURG CAPITAL MANAGEMENT INC.
July 23, 1998 - July 7, 1999
NORTH AMERICAN INSTITUTIONAL BROKERS
June 12, 1996 - June 30, 1998
NATIONAL FINANCIAL SERVICES LLC
January 26, 1996 - June 25, 1996
WSM HOLDINGS, L.L.C.
May 24, 1988 - January 30, 1995
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
October 14, 1980 - May 24, 1988
TROSTER SINGER CORPORATION
March 4, 1976 - October 20, 1983
UBS CAPITAL MARKETS L.P.
January 8, 1976 - April 20, 1976
SILVER, GRAY & CO., INC.
August 12, 1975 - January 19, 1976
THE HAYTON CORP
June 4, 1974 - February 14, 1975
STEINER, ROUSE & 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 55
Date: 7/29/1999
Limited Representative-Equity Trader ExamSeries 1
Date: 6/3/1974
Registered Representative ExaminationCurrent Firm
SCOTTSDALE CAPITAL ADVISORS CORP
CRD#: 118786 / SEC#: 801-60965, 8-53685
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
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