DM
David R. Marshall
MACQUARIE CAPITAL (USA)
NEW YORK, NY 10103
Some features on this profile are disabled
CRD#: 4360017
DM
Professional summary
David Robert Marshall JR, CIMA®, who also goes by Dave Marshall, David Robert Marshall, is a registered financial professional currently at MACQUARIE CAPITAL (USA) INC. located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 2001. David has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dave Marshall | David Robert Marshall
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.
CRS (Client Relationship Summary) - BD
Click below to view David Robert Marshall JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
November 26, 2025 - Present
MACQUARIE CAPITAL (USA) INC.
Office #1: 660 5th Ave, New York, NY 10103BD
CRD#: 36368
NEW YORK, NY
Past
October 17, 2025 - November 7, 2025
TORTOISE CAPITAL ADVISORS, L.L.C.
RIA
CRD#: 123711
OVERLAND PARK, KS
Past
April 28, 2025 - November 7, 2025
PINE DISTRIBUTORS LLC
BD
CRD#: 323408
OVERLAND PARK, KS
Past
July 6, 2017 - December 31, 2023
TORTOISEECOFIN SECURITIES, LLC
BD
CRD#: 285411
OVERLAND PARK, KS
Past
November 17, 2016 - December 13, 2023
TORTOISEECOFIN INVESTMENTS PARTNERS, LLC
RIA
CRD#: 285213
APOPKA, FL
Past
February 21, 2015 - November 17, 2016
MONTAGE INVESTMENTS, LLC
RIA
CRD#: 152607
APOPKA, FL
Past
January 22, 2015 - July 3, 2017
MSEC, LLC
BD
CRD#: 154327
OVERLAND PARK, KS
Past
June 16, 2010 - January 6, 2015
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
Past
January 22, 2009 - June 7, 2010
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
DOWNERS GROVE, IL
Past
June 7, 2004 - January 14, 2009
INVESCO CAPITAL MARKETS, INC.
BD
CRD#: 6939
OAKBROOK TERRACE, IL
Past
March 6, 2001 - March 24, 2003
INVESTORS BROKERAGE SERVICES, INC.
BD
CRD#: 4257
ELGIN, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/26/2025)
RR
Alaska(11/26/2025)
RR
Arizona(11/26/2025)
RR
Arkansas(11/26/2025)
RR
California(11/26/2025)
RR
Colorado(11/26/2025)
RR
Connecticut(11/26/2025)
RR
Delaware(11/26/2025)
RR
District of Columbia(11/26/2025)
RR
Florida(11/26/2025)
RR
Georgia(11/26/2025)
RR
Hawaii(11/26/2025)
RR
Idaho(11/26/2025)
RR
Illinois(11/26/2025)
RR
Indiana(11/26/2025)
RR
Iowa(11/26/2025)
RR
Kansas(11/26/2025)
RR
Kentucky(11/26/2025)
RR
Louisiana(11/26/2025)
RR
Maine(11/26/2025)
RR
Maryland(11/26/2025)
RR
Massachusetts(11/26/2025)
RR
Michigan(11/26/2025)
RR
Minnesota(11/26/2025)
RR
Mississippi(11/26/2025)
RR
Missouri(11/26/2025)
RR
Montana(11/26/2025)
RR
Nebraska(11/26/2025)
RR
Nevada(11/26/2025)
RR
New Hampshire(11/26/2025)
RR
New Jersey(11/26/2025)
RR
New Mexico(11/26/2025)
RR
New York(11/26/2025)
RR
North Carolina(11/26/2025)
RR
North Dakota(11/26/2025)
RR
Ohio(11/28/2025)
RR
Oklahoma(11/26/2025)
RR
Oregon(11/26/2025)
RR
Pennsylvania(11/26/2025)
RR
Puerto Rico(11/26/2025)
RR
Rhode Island(11/26/2025)
RR
South Carolina(11/26/2025)
RR
South Dakota(11/26/2025)
RR
Tennessee(11/26/2025)
RR
Texas(11/26/2025)
RR
Utah(11/26/2025)
RR
Vermont(11/26/2025)
RR
Virgin Islands(11/26/2025)
RR
Virginia(11/26/2025)
RR
Washington(11/26/2025)
RR
West Virginia(11/26/2025)
RR
Wisconsin(11/26/2025)
RR
Wyoming(11/26/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
MC
MACQUARIE CAPITAL (USA) INC.
MACQUARIE CAPITAL (USA) INC. | MACQUARIE SECURITIES INC. | MACQUARIE SECURITIES (USA) INC. | MACQUARIE EQUITIES (U.S.A.) INC.
CRD#: 36368 / SEC#: , 8-47198
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
660 5th Ave, New York, NY 10103
Mailing Address
660 5th Ave, New York, NY 10103
Phone number
(212) 231-1000
Established
Delaware since 03/01/1994
Firm type
Corporation
Fiscal year end
March
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE HOLDINGS (USA) INC. | SHAREHOLDER | |
| BACHTELER, TOBIAS | CO-CHIEF EXECUTIVE OFFICER | 4945558 |
| CHAN, PAULINA M | CHIEF COMPLIANCE OFFICER | 3211559 |
| CONAHAN, JAMES S | CHIEF FINANCIAL OFFICER/FINOP | 2538695 |
| DE FREITAS, CARLOS A | CHIEF OPERATING OFFICER | 4812920 |
| FULTON, JANEEN KAY | AML OFFICER | 3066508 |
| VALENTINE, ROBERT GEOFFREY | DIRECTOR | 5633577 |
| VUOLO, JEREMY MURPHY | CO-CHIEF EXECUTIVE OFFICER | 2798378 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
