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MM

Mark S. Maclay

CAPITOLIS GLOBAL BROKER DEALER
NEW YORK, NY 10036
Some features on this profile are disabled
CRD#: 6116069
MM

Professional summary

Mark S Maclay is a registered financial professional currently at CAPITOLIS GLOBAL BROKER DEALER LLC located in New York, New York.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2026. Mark has worked at 1 firm and has passed the Series 7TO and SIE 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark S Maclay'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®
None

Experience

Current

May 11, 2026 - Present

CAPITOLIS GLOBAL BROKER DEALER LLC

Office #1: 11 W. 42nd Street 15th Floor, New York, NY, 10036
BD
CRD#: 325346
NEW YORK, NY

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

General Industry/Product Exam
RR
Series 7TO
Date: 5/11/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/17/2026
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CG
CAPITOLIS GLOBAL BROKER DEALER LLC
CAPITOLIS GLOBAL BROKER DEALER LLC

CRD#: 325346 / SEC#: , 8-71056

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

Main Address
11 W. 42nd Street 15th Floor, New York, NY, 10036
Mailing Address
11 W. 42nd Street 15th Floor, New York, NY, 10036
Phone number
(212) 388-5201
Established
Delaware since 02/01/2023
Firm type
Limited Liability Company
Fiscal year end
January
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
ESL FUNDING LLCGENERAL MEMBER
BAPTISTE, LINDSEY KATHLEENCHIEF FINANCIAL OFFICER, FINOP AND MANAGER5714590
BORER, JON ACHIEF COMPLIANCE OFFICER6374938
DROUMENQ, THOMASCHIEF EXECUTIVE OFFICER4871722
WEXLER, STUART JOELGENERAL COUNSEL
WILSON, CHARLENE FAITHFINOP1935747

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CAPITOLIS GLOBAL BROKER DEALER LLC

CRD#: 325346New York, NY 10036

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