MM
Michael A. Marquez
BESSEMER INVESTOR SERVICES
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 4413060
MM
Professional summary
Michael Allen Marquez is a registered financial professional currently at BESSEMER INVESTOR SERVICES, INC. located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Michael Allen Marquez'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®
NoneExperience
Current
November 17, 2009 - Present
BESSEMER INVESTOR SERVICES, INC.
Office #1: 1271 Avenue Of The Americas 46th Floor, New York, NY 10020BD
CRD#: 17442
NEW YORK, NY
Past
October 1, 2008 - September 23, 2009
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
MIAMI, FL
Past
September 5, 2001 - October 1, 2008
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
MIAMI, FL
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(11/17/2009)
RR
Alaska(11/17/2009)
RR
Arizona(11/17/2009)
RR
Arkansas(11/17/2009)
RR
California(11/17/2009)
RR
Colorado(11/17/2009)
RR
Connecticut(11/17/2009)
RR
Delaware(11/17/2009)
RR
District of Columbia(11/17/2009)
RR
Florida(11/17/2009)
RR
Georgia(11/17/2009)
RR
Hawaii(11/17/2009)
RR
Idaho(11/17/2009)
RR
Illinois(11/17/2009)
RR
Indiana(11/17/2009)
RR
Iowa(11/17/2009)
RR
Kansas(11/17/2009)
RR
Kentucky(11/17/2009)
RR
Louisiana(11/17/2009)
RR
Maine(11/17/2009)
RR
Maryland(11/17/2009)
RR
Massachusetts(11/17/2009)
RR
Michigan(11/17/2009)
RR
Minnesota(11/17/2009)
RR
Mississippi(11/17/2009)
RR
Missouri(11/17/2009)
RR
Montana(11/17/2009)
RR
Nebraska(11/17/2009)
RR
Nevada(11/17/2009)
RR
New Hampshire(11/17/2009)
RR
New Jersey(11/17/2009)
RR
New Mexico(11/17/2009)
RR
New York(11/17/2009)
RR
North Carolina(11/18/2009)
RR
North Dakota(11/17/2009)
RR
Ohio(11/18/2009)
RR
Oklahoma(11/17/2009)
RR
Oregon(11/17/2009)
RR
Pennsylvania(11/17/2009)
RR
Puerto Rico(11/17/2009)
RR
Rhode Island(11/17/2009)
RR
South Carolina(11/17/2009)
RR
South Dakota(11/17/2009)
RR
Tennessee(11/17/2009)
RR
Texas(11/17/2009)
RR
Utah(11/17/2009)
RR
Vermont(11/17/2009)
RR
Virginia(11/17/2009)
RR
Washington(11/17/2009)
RR
West Virginia(11/17/2009)
RR
Wisconsin(11/17/2009)
RR
Wyoming(11/17/2009)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BI
BESSEMER INVESTOR SERVICES, INC.
BESSEMER INVESTOR SERVICES, INC.
CRD#: 17442 / SEC#: , 8-35199
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1271 Avenue Of The Americas 46 Floor, New York, NY 10020
Mailing Address
1271 Avenue Of The Americas 46 Floor, New York, NY 10020
Phone number
(212) 708-9100
Established
Delaware since 04/07/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BESSEMER TRUST COMPANY, N.A. | SHAREHOLDER | |
| BOYLE, PATRICK SIDNEY | SENIOR VICE PRESIDENT | 2472066 |
| GLOWACKI, JEFF JOSEPH | DIRECTOR/SENIOR VICE PRESIDENT | 2942946 |
| GUPTA, RITU | CHIEF COMPLIANCE OFFICER/ASSISTANT SECRETARY | 5059699 |
| MARQUEZ, MICHAEL ALLEN | DIRECTOR/PRESIDENT | 4413060 |
| MCBRIDE, TIMOTHY SEAN | SENIOR VICE PRESIDENT | 2554176 |
| PEDROSO, ARTURO GUSTAVO | SENIOR VICE PRESIDENT | 5161708 |
| SCHLUSSELBERG, BRIAN SCOTT | SENIOR VICE PRESIDENT | 4716582 |
| SLOAN, BENJAMIN PERRY | SENIOR VICE PRESIDENT | 4243057 |
| SYMINGTON, JANE REILLY | SENIOR VICE PRESIDENT | 2520317 |
| TRIMARCO MIRANDO, DIANA | ASSISTANT TREASURER/ASSISTANT FINANCIAL & OPERATIONS PRINCIPAL | 5714209 |
| YAWORSKY, GEORGE M. | TREASURER/FINANCIAL & OPERATIONS PRINCIPAL | 6425195 |
Red Flags
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