AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MG

Mounir Guen

MARCO POLO SECURITIES
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 4576504
MG

Professional summary

Mounir Guen is a registered financial professional currently at MARCO POLO SECURITIES INC. located in New York, New York.

Mounir is registered as a RR (Registered Representative) and started their career in finance in 2003. Mounir has worked at 2 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 17 and Series 24 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mounir Guen'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®
None

Experience

Current

October 31, 2023 - Present

MARCO POLO SECURITIES INC.

Office #1: 1230 Avenue Of Am 16th Floor, New York, NY 10020
BD
CRD#: 46561
NEW YORK, NY
Past

January 31, 2003 - November 27, 2023

MVISION PRIVATE EQUITY ADVISERS USA LLC

BD
CRD#: 122242
LONDON,

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
Alaska
(7/16/2024)
RR
Arizona
(7/11/2024)
RR
California
(10/31/2023)
RR
Colorado
(5/20/2025)
RR
Connecticut
(12/26/2023)
RR
Delaware
(6/26/2024)
RR
District of Columbia
(10/18/2024)
RR
Florida
(10/31/2023)
RR
Hawaii
(8/30/2024)
RR
Illinois
(7/3/2024)
RR
Indiana
(1/18/2024)
RR
Kansas
(9/27/2024)
RR
Maine
(8/13/2024)
RR
Maryland
(5/2/2025)
RR
Massachusetts
(9/9/2024)
RR
Michigan
(1/2/2024)
RR
Missouri
(1/8/2025)
RR
Montana
(9/16/2025)
RR
New Jersey
(10/31/2023)
RR
New York
(10/31/2023)
RR
North Carolina
(1/3/2024)
RR
Ohio
(12/26/2023)
RR
Oklahoma
(10/2/2024)
RR
Pennsylvania
(1/2/2024)
RR
Rhode Island
(8/1/2024)
RR
Tennessee
(6/17/2024)
RR
Texas
(12/26/2023)
RR
Utah
(2/27/2024)
RR
Virginia
(6/27/2024)
RR
Washington
(8/12/2025)
RR
Wisconsin
(1/16/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/11/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 17
Date: 9/18/2002
Limited Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/1/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MP
MARCO POLO SECURITIES INC.
DEVINE SECURITIES INC. | MARCO POLO SECURITIES INC.

CRD#: 46561 / SEC#: , 8-51480

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1230 Avenue Of Am 16th Floor, New York, NY 10020
Mailing Address
1230 Avenue Am 16th Floor, New York, NY 10020
Phone number
(347) 773-4959
Established
New York since 10/26/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (35 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MARCO POLO EXCHANGE LLCOWNER
CARLSON, STEVEN JACKCHAIRMAN & PRESIDENT, MANAGER OF CORP FIN, AND DIRECTOR2026011
EBERSTADT, OLIVER ROBERTCCO1808170
MACK, ALEXANDER HERBERTFINOP4805607

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.

Company Information

MARCO POLO SECURITIES INC.

CRD#: 46561New York, NY 10020

TRUST BUT VERIFY

Monitor Mounir Guen

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.