Marc L. Specter
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 Leroy Specter, who also goes by Marc L Specter, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1972. Marc had worked at 12 firms and has passed the Series 66, Series 63, SIE, PC 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
September 11, 2018 - May 30, 2019
CENTAURUS FINANCIAL, INC.
September 10, 2018 - May 30, 2019
CENTAURUS FINANCIAL, INC.
October 16, 2015 - September 20, 2018
CETERA INVESTMENT ADVISERS LLC
September 1, 2015 - September 20, 2018
SUMMIT BROKERAGE SERVICES, INC.
July 26, 2007 - November 13, 2015
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
December 2, 2005 - September 29, 2015
J.P. TURNER & COMPANY, L.L.C.
August 4, 2005 - November 28, 2005
JANNEY MONTGOMERY SCOTT LLC
March 14, 1988 - November 28, 2005
JANNEY MONTGOMERY SCOTT LLC
September 4, 1984 - March 26, 1988
CITIGROUP GLOBAL MARKETS INC.
September 16, 1977 - September 18, 1984
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
June 16, 1976 - August 27, 1976
BACHE & CO INCORPORATED
July 16, 1973 - July 5, 1976
PIEDMONT CAPITAL CORPORATION
August 22, 1972 - August 6, 1973
PROVIDENT SECURITIES CORPORATION
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
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
PC
Date: 6/13/1977
AMEX Put and Call ExamSeries 1
Date: 8/14/1972
Registered Representative ExaminationCurrent Firm
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
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.
