William K. Weinstein
Professional summary
William Klatoff Weinstein was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial advisor and started their career in finance in 1969. Prior to being barred, William had worked at 9 firms, which includes MAREX CAPITAL MARKETS INC., COWEN AND COMPANY, COWEN PRIME SERVICES LLC, AEOW MANAGEMENT LLC, WILK MANAGEMENTLLC, COWEN PRIME SERVICES TRADING LLC, THE CHICAGO CORPORATION, MONTGOMERY SECURITIES, CIBC WORLD MARKETS CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2023 - February 28, 2025
MAREX CAPITAL MARKETS INC.
August 18, 2021 - December 12, 2023
COWEN AND COMPANY
February 3, 2016 - January 4, 2022
COWEN PRIME SERVICES LLC
October 24, 2006 - April 8, 2013
AEOW MANAGEMENT, LLC
March 20, 2003 - October 10, 2005
WILK MANAGEMENT,LLC
March 10, 1989 - June 15, 2016
COWEN PRIME SERVICES TRADING LLC
November 21, 1988 - May 1, 1989
THE CHICAGO CORPORATION
June 10, 1982 - November 5, 1986
MONTGOMERY SECURITIES
November 7, 1969 - March 23, 1976
CIBC WORLD MARKETS CORP.
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 41
Date: 3/1/1975
NYSE Allied Member ExaminationSeries 1
Date: 8/23/1962
Registered Representative ExaminationSeries 00
Date: 11/3/1969
General Securities Principal ExaminationCurrent Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
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.
