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MH

Marc R. Harold

Some features on this profile are disabled
CRD#: 3200916
MH
Marc Ryan Harold

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.

Marc Ryan Harold, who also goes by Marc Harold, was a registered financial professional .

Marc is a previously registered financial professional and started their career in finance in 1999. Marc had worked at 7 firms and has passed the Series 65, Series 63, Series 57TO, Series 79TO, Series 52TO, SIE, Series 3, Series 55, Series 7, Series 14, Series 53, Series 4, Series 10, Series 9 and Series 24 exams.

Aliases

Marc Harold

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 29, 2023 - September 19, 2023

PALAFOX TRADING LLC

BD
CRD#: 131114
New York, NY
Past

March 29, 2023 - September 19, 2023

CITADEL CLEARING LLC

BD
CRD#: 172693
New York, NY
Past

June 27, 2017 - September 10, 2026

CITADEL SECURITIES LLC

BD
CRD#: 116797
NEW YORK, NY
Past

June 27, 2017 - September 10, 2026

CITADEL SECURITIES INSTITUTIONAL LLC

BD
CRD#: 281102
New York, NY
Past

December 12, 2005 - June 20, 2017

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

October 6, 2003 - December 20, 2005

ADVEST, INC.

RIA
CRD#: 10
HARTFORD, CT
Past

July 1, 2002 - December 20, 2005

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

April 1, 1999 - May 29, 2002

HARRISDIRECT LLC

BD
CRD#: 42159
JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

What does exam status mean?
State Security Law Exam
PR
Series 65
Status Unavailable
Passed: 10/3/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
PR
Series 63
Status Unavailable
Passed: 4/29/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
PR
Series 57TO
Status Unavailable
Passed: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
PR
Series 79TO
Status Unavailable
Passed: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
PR
Series 52TO
Status Unavailable
Passed: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
PR
SIE
Status Unavailable
Passed: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
PR
Series 3
Status Unavailable
Passed: 7/29/2008
National Commodity Futures Examination
General Industry/Product Exam
PR
Series 55
Status Unavailable
Passed: 11/24/2003
Limited Representative-Equity Trader Exam
General Industry/Product Exam
PR
Series 7
Status Unavailable
Passed: 3/25/1999
General Securities Representative Examination
Principal/Supervisory Exam
PR
Series 14
Status Unavailable
Passed: 3/30/2023
Compliance Officer Examination
Principal/Supervisory Exam
PR
Series 53
Status Unavailable
Passed: 10/26/2004
Municipal Securities Principal Examination
Principal/Supervisory Exam
PR
Series 4
Status Unavailable
Passed: 7/8/2003
Registered Options Principal Examination
Principal/Supervisory Exam
PR
Series 10
Status Unavailable
Passed: 3/6/2003
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
PR
Series 9
Status Unavailable
Passed: 1/24/2003
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
PR
Series 24
Status Unavailable
Passed: 1/26/2000
General Securities Principal Examination

Current Firm

PT
PALAFOX TRADING LLC
PALAFOX TRADING LLC

CRD#: 131114 / SEC#: , 8-66420

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
830 Brickell Plaza Floor 15, Miami, FL 33131
Mailing Address
830 Brickell Plaza Floor 15, Miami, FL 33131
Phone number
(305) 929-6851
Established
Delaware since 01/16/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PALAFOX HOLDCO LLCMEMBER
CARROLL, SEAN VINCENTCHIEF EXECUTIVE OFFICER AND PRINCIPAL OPERATIONS OFFICER2518443
CITADEL ADVISORS LLCMANAGER
HENRY, STEVEN MICHAELCHIEF ACCOUNTING OFFICER AND FINOP5587809
SAHADI, NICHOLAS MITCHELLCHIEF COMPLIANCE OFFICER4044856

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.

Company Information

PALAFOX TRADING LLC

CRD#: 131114

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