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MM

Marcus C. Mccain

UNIVEST SECURITIES
NEW YORK, NY 10019
Some features on this profile are disabled
CRD#: 5279394
MM

Professional summary

Marcus Cole Mccain, who also goes by Marc Cole Mccain, Marc Mccain, Marcus Cole Mccain, is a registered financial professional currently at UNIVEST SECURITIES, LLC located in New York, New York.

Marcus is registered as a RR (Registered Representative) and started their career in finance in 2010. Marcus has worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Marc Cole Mccain | Marc Mccain | Marcus Cole Mccain

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marcus Cole Mccain's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 28, 2026 - Present

UNIVEST SECURITIES, LLC

Office #1: 75 Rockefeller Plaza Suite 25a, New York, NY 10019
BD
CRD#: 36105
NEW YORK, NY
Past

May 23, 2025 - February 5, 2026

REVOLUT SECURITIES INC.

BD
CRD#: 304600
NEW YORK, NY
Past

February 7, 2023 - September 23, 2024

TICKRS CLEARING

BD
CRD#: 312531
IRVINE, CA
Past

July 29, 2019 - May 21, 2025

DOO FINANCIAL US, INC.

BD
CRD#: 24409
Eagle, ID
Past

February 8, 2017 - July 31, 2017

VELOX SECURITIES, INC.

BD
CRD#: 285402
ANAHEIM, CA
Past

March 30, 2015 - January 18, 2017

CAPITAL ONE INVESTING, LLC

BD
CRD#: 45744
PLANO, TX
Past

October 7, 2014 - December 12, 2014

PROVASI CAPITAL PARTNERS LP

BD
CRD#: 119539
DALLAS, TX
Past

July 2, 2013 - September 19, 2014

SCOTTRADE, INC.

BD
CRD#: 8206
ST. LOUIS, MO
Past

June 26, 2012 - December 21, 2012

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

February 10, 2010 - August 1, 2012

PENSON FINANCIAL SERVICES, INC.

BD
CRD#: 25866
DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(4/28/2026)
RR
Colorado
(4/28/2026)
RR
Connecticut
(4/28/2026)
RR
Delaware
(4/28/2026)
RR
Florida
(4/28/2026)
RR
Georgia
(4/28/2026)
RR
Illinois
(4/28/2026)
RR
Kansas
(4/28/2026)
RR
Maryland
(4/28/2026)
RR
Massachusetts
(4/28/2026)
RR
Michigan
(4/28/2026)
RR
Minnesota
(4/28/2026)
RR
Nebraska
(4/28/2026)
RR
New Jersey
(4/28/2026)
RR
New York
(4/28/2026)
RR
North Carolina
(4/29/2026)
RR
Ohio
(4/28/2026)
RR
Oklahoma
(4/28/2026)
RR
Pennsylvania
(4/28/2026)
RR
Puerto Rico
(4/28/2026)
RR
Texas
(4/28/2026)
RR
Utah
(4/28/2026)
RR
Virginia
(4/28/2026)
RR
Washington
(4/28/2026)
RR
Wisconsin
(4/28/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 11/2/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 7/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/9/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/16/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

US
UNIVEST SECURITIES, LLC
UNIVERSAL FINANCIAL GROUP | UNIVEST SECURITIES, LLC | UNIVEST SECURITIES, INC. DBA UNIVERSAL FINANCIAL GROUP | UNIVEST SECURITIES, INC. | UNIVEST SECURITIES

CRD#: 36105 / SEC#: , 8-47006

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Contact information

Main Address
75 Rockefeller Plaza Suite18c, New York, NY 10019
Mailing Address
75 Rockefeller Plaza, New York, NY 10019
Phone number
(212) 343-8888
Established
New York since 01/15/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
18

FINRA licenses (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
COMMAS INTERNATIONAL HOLDING, LLCSHAREHOLDER
FAN, XINYUECFO7171614
GUO, YIMANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT BANKING CHIEF COMPLIANCE OFFICER6246079
JACOBSEN, BRYAN KNON INVESTMENT BANKING CHIEF COMPLIANCE OFFICER3055957
0

Disclosures

Regulatory Event2

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.

Company Information

UNIVEST SECURITIES, LLC

CRD#: 36105New York, NY 10019

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