Matthew R. Marcus
Professional summary
Matthew Randol Marcus, who also goes by Matthew R Marcus, Matthew Randol Marcus, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Longwood, Florida.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Matthew has worked at 9 firms and has passed the Series 65, Series 63, Series 66, Series 7TO, SIE, Series 6, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Randol Marcus's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew Randol Marcus's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 25, 2023 - Present
PRINCIPAL SECURITIES, INC.
October 24, 2023 - Present
PRINCIPAL SECURITIES, INC.
October 24, 2022 - August 1, 2023
LPL FINANCIAL LLC
October 21, 2022 - August 1, 2023
LPL FINANCIAL LLC
March 15, 2018 - June 1, 2022
EMPOWER ADVISORY GROUP, LLC
August 22, 2017 - June 1, 2022
EMPOWER FINANCIAL SERVICES, INC.
September 21, 2012 - August 15, 2013
PRINCIPAL SECURITIES, INC.
August 9, 2012 - August 15, 2013
PRINCIPAL SECURITIES, INC.
May 24, 2010 - September 30, 2010
SPC
February 10, 2010 - September 30, 2010
PARKLAND SECURITIES, LLC
January 12, 2010 - February 9, 2010
MORGAN KEEGAN & COMPANY, LLC
March 26, 2009 - December 31, 2009
MORGAN KEEGAN & COMPANY, LLC
February 13, 2007 - November 27, 2007
MORGAN KEEGAN & COMPANY, LLC
September 20, 2006 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
November 22, 2005 - June 7, 2006
MORGAN STANLEY DW INC.
October 7, 2005 - June 7, 2006
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/24/2023)
(10/25/2023)
(10/31/2023)
Exams
Series 7TO
Date: 2/27/2021
General Securities Representative ExaminationFINRA
Current Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
