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Marc L. Manuel

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CRD#: 5621706
MM

Professional summary

Marc Lewis Manuel was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Marc is a previously registered financial professional and started their career in finance in 2009. Prior to being barred, Marc had worked at 2 firms, which includes SCARSDALE EQUITIES LLC, SEAPINE SECURITIES LLC.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 18, 2009 - May 2, 2013

SCARSDALE EQUITIES LLC

BD
CRD#: 134602
NEW YORK, NY
Past

January 1, 2009 - May 1, 2009

SEAPINE SECURITIES, LLC

BD
CRD#: 143463
OLD GREENWICH, CT

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/12/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79
Date: 6/1/2010
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 12/31/2008
General Securities Representative Examination

Current Firm

SE
SCARSDALE EQUITIES LLC
SCARSDALE EQUITIES LLC

CRD#: 134602 / SEC#: , 8-66845

BD
Terminated by SEC on 02/21/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/16/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MLYNARCZYK, FRANCIS ALEXANDERMANAGING MEMBER, CEO, CCO, FINOP, AMLCO2250955
FITZGERALD, HEATHER MARIECHIEF FINANCIAL OFFICER4427665

Disclosures

Regulatory Event1

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

SCARSDALE EQUITIES LLC

CRD#: 134602

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