RM
Rishi Marwaha
MMC SECURITIES LLC
New York, NY 10036
Some features on this profile are disabled
CRD#: 5574424
RM
Professional summary
Rishi Marwaha is a registered financial professional currently at MMC SECURITIES LLC located in New York, New York.
Rishi is registered as a RR (Registered Representative) and started their career in finance in 2010. Rishi has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Rishi Marwaha's 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®
NoneExperience
Current
September 21, 2019 - Present
MMC SECURITIES LLC
Office #1: 1166 Avenue Of The Americas, New York, NY 10036BD
CRD#: 103846
New York, NY
Past
June 7, 2017 - September 6, 2019
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
November 30, 2010 - June 28, 2017
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
April 1, 2010 - November 29, 2010
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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
Alabama(9/21/2019)
RR
Alaska(9/21/2019)
RR
Arizona(9/21/2019)
RR
Arkansas(9/21/2019)
RR
California(9/21/2019)
RR
Colorado(9/21/2019)
RR
Connecticut(9/21/2019)
RR
Delaware(9/21/2019)
RR
District of Columbia(9/21/2019)
RR
Florida(9/21/2019)
RR
Georgia(9/21/2019)
RR
Hawaii(9/21/2019)
RR
Idaho(9/21/2019)
RR
Illinois(9/21/2019)
RR
Indiana(9/21/2019)
RR
Iowa(9/21/2019)
RR
Kansas(9/21/2019)
RR
Kentucky(9/21/2019)
RR
Louisiana(9/21/2019)
RR
Maine(9/21/2019)
RR
Maryland(9/21/2019)
RR
Massachusetts(9/21/2019)
RR
Michigan(9/21/2019)
RR
Minnesota(9/21/2019)
RR
Mississippi(9/21/2019)
RR
Missouri(9/21/2019)
RR
Montana(9/21/2019)
RR
Nebraska(9/21/2019)
RR
Nevada(9/21/2019)
RR
New Hampshire(9/21/2019)
RR
New Jersey(9/21/2019)
RR
New Mexico(9/21/2019)
RR
New York(9/21/2019)
RR
North Carolina(9/21/2019)
RR
North Dakota(9/21/2019)
RR
Ohio(9/22/2019)
RR
Oklahoma(9/21/2019)
RR
Oregon(9/21/2019)
RR
Pennsylvania(9/21/2019)
RR
Puerto Rico(10/4/2023)
RR
Rhode Island(9/21/2019)
RR
South Carolina(9/21/2019)
RR
South Dakota(9/21/2019)
RR
Tennessee(9/21/2019)
RR
Texas(10/11/2019)
RR
Utah(9/21/2019)
RR
Vermont(9/21/2019)
RR
Virginia(9/21/2019)
RR
Washington(9/21/2019)
RR
West Virginia(9/21/2019)
RR
Wisconsin(9/21/2019)
RR
Wyoming(10/4/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/1/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MS
MMC SECURITIES LLC
MARSH INSURANCE & INVESTMENTS CORP. | MMC SECURITIES LLC | MMC SECURITIES CORP. | MMC SECURITIES CORP | MMA NEW ENGLAND | MMA - BARNEY AND BARNEY | MIIC INSURANCE SERVICES CORP | MERCER H & B EXECUTIVE BENEFITS | MERCER DC ADVISORS; MMA NEW ENGLAND; MERCER H & B EXEC. BENEFITS | MERCER DC ADVISORS | MARSH INSURANCE AGENCY & INVESTMENTS CORP | MARSH INSURANCE & INVESTMENTS CORPORATION
CRD#: 103846 / SEC#: 801-60515, 8-52349
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1166 Avenue Of The Americas 31st Floor, New York, NY 10036
Mailing Address
1166 Avenue Of The Americas, New York, NY 10036
Phone number
(212) 345-5000
Established
Delaware since 04/01/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARSH INSURANCE & INVESTMENTS LLC | SOLE MEMBER | |
| BLACKMORE, KIMBERLY LYNN | FINOP PRINCIPAL, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, DIRECTOR AND TREASURER | 2219307 |
| HUM, CHI HONG | PRESIDENT, ASSISTANT SECRETARY AND DIRECTOR | 1620728 |
| KEANE, DARREN PETER | DEPUTY CCO, DIRECTOR | 6900143 |
| KUMAR, SHIV | CEO AND DIRECTOR | 3165711 |
| MA, JOHN SUNG | PRINCIPAL OPERATIONS OFFICER | 5858075 |
| WEINSTOCK, JUDITH ANN | CCO, DIRECTOR AND SECRETARY | 8096565 |
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.
