Brandon L. Klerk
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.
Brandon Lamberson Klerk, who also goes by Brandon L Klerk, was a registered financial professional .
Brandon is a previously registered financial professional and started their career in finance in 1999. Brandon had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 87, Series 55, Series 3, Series 7, Series 6, Series 53 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
September 30, 2016 - September 1, 2017
MAREX CAPITAL MARKETS INC.
October 6, 2011 - February 1, 2016
INCAPITAL DISTRIBUTORS LLC
December 23, 2010 - February 1, 2016
INSPEREX LLC
February 21, 2007 - August 10, 2007
JUMP TRADING, LLC
August 27, 2003 - September 10, 2004
MESIROW FINANCIAL, INC.
April 17, 2002 - September 10, 2004
MESIROW FINANCIAL, INC.
June 16, 1999 - February 27, 2001
JANUS HENDERSON DISTRIBUTORS US 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 55
Date: 5/21/2009
Limited Representative-Equity Trader ExamCurrent Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
Red Flags
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