Allison L. Larson
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.
Allison Lee Larson, who also goes by Allison Lee Carley, Allison Lee Liebowitz, Allison Liebowitz, was a registered financial professional .
Allison is a previously registered financial professional and started their career in finance in 2003. Allison had worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2019 - June 17, 2021
MAREX CAPITAL MARKETS INC.
January 14, 2014 - February 27, 2019
STONEX FINANCIAL INC.
September 7, 2010 - November 26, 2013
BTIG, LLC
October 20, 2009 - August 26, 2010
TULLETT PREBON FINANCIAL SERVICES LLC
April 18, 2008 - June 18, 2008
SCHOTTENFELD GROUP LLC
February 8, 2008 - April 25, 2008
G-2 TRADING,LLC
March 8, 2004 - April 14, 2005
UPHOLD SECURITIES INC.
August 7, 2003 - November 20, 2003
CITIGROUP GLOBAL MARKETS INC.
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/5/2008
Limited Representative-Equity Trader ExamCurrent 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
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