Marc D. Flor
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 David Flor was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 2007. Marc had worked at 4 firms and has passed the Series 63, Series 79TO, SIE 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
November 4, 2020 - January 3, 2023
BERKERY NOYES SECURITIES, LLC
February 15, 2019 - April 29, 2020
CANACCORD GENUITY LLC
October 31, 2008 - March 14, 2019
PETSKY PRUNIER SECURITIES, LLC
June 12, 2007 - January 16, 2009
COADY DIEMAR PARTNERS, LLC
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
BERKERY NOYES SECURITIES, LLC
CRD#: 155918 / SEC#: , 8-68750
Contact information
FINRA licenses (23 States and Territories)
Documents
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.
