Marc B. Baine
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.
Marc B Baine, who also goes by Marc Bernard Baine, Marc Baine, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 2004. Marc had worked at 7 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 3 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
February 4, 2019 - April 20, 2021
CANTOR FITZGERALD & CO.
June 11, 2013 - May 30, 2018
GOLDMAN SACHS & CO. LLC
July 8, 2010 - June 25, 2013
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
May 18, 2009 - June 25, 2010
KNIGHT DIRECT LLC
September 22, 2008 - February 12, 2009
BARCLAYS CAPITAL INC.
September 6, 2006 - September 22, 2008
LEHMAN BROTHERS INC.
November 19, 2004 - August 22, 2006
INTERACTIVE BROKERS 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: 8/16/2023
General Securities Representative ExaminationSeries 57TO
Date: 8/16/2023
Securities Trader ExamCurrent Firm
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
Red Flags
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