Marc D. Shiner
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 David Shiner was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1970. Marc had worked at 6 firms and has passed the Series 1, Series 26 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 1983 - January 24, 1986
WELLESLEY FINANCIAL MANAGEMENT SERVICES INC.
September 12, 1980 - October 3, 1983
CARDELL & ASSOCIATES, INCORPORATED
March 25, 1976 - September 29, 1980
INDEPENDENT FINANCIAL PLANNERS CORPORATION
December 17, 1974 - April 29, 1976
HIMCO DISTRIBUTION SERVICES COMPANY
November 1, 1971 - April 25, 1976
PIEDMONT CAPITAL CORPORATION
October 6, 1970 - November 1, 1971
PIEDMONT CAPITAL CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 9/28/1970
Registered Representative ExaminationCurrent Firm
WELLESLEY FINANCIAL MANAGEMENT SERVICES INC.
CRD#: 13682 / SEC#: , 8-29594
Contact information
Documents
Red Flags
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