Marc Waldman
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 Waldman was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 2006. Marc had worked at 4 firms and has passed the Series 63, SIE, Series 79 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 9, 2017 - May 29, 2020
LADDER CAPITAL SECURITIES LLC
May 1, 2013 - February 28, 2017
DEUTSCHE BANK SECURITIES INC.
November 9, 2011 - November 12, 2012
UBS SECURITIES LLC
October 17, 2011 - December 1, 2011
CREDIT SUISSE SECURITIES (USA) LLC
August 9, 2010 - September 2, 2011
UBS SECURITIES LLC
July 12, 2006 - March 10, 2009
UBS SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
LADDER CAPITAL SECURITIES LLC
CRD#: 151403 / SEC#: , 8-68368
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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