MZ
Marvin Zwikler
CANACCORD GENUITY LLC
Montreal, H3B 4W8
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CRD#: 6427826
MZ
Professional summary
Marvin Zwikler is a registered financial professional currently at CANACCORD GENUITY LLC .
Marvin is registered as a RR (Registered Representative) and started their career in finance in 2015. Marvin has worked at 1 firm and has passed the SIE, Series 37 and Series 24 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 Marvin Zwikler'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
July 8, 2015 - Present
CANACCORD GENUITY LLC
Office #1: 1250 Rene-levesque Boulevard West Suite 2930, Montreal, H3B 4W8BD
CRD#: 1020
Montreal,
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
General Industry/Product Exam
RR
Series 37
Date: 7/8/2015
Canada Module of the General Securities Registered Representative (With Options Questions)Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
CG
CANACCORD GENUITY LLC
ADAMS HARKNESS, INC. | CANACCORD GENUITY LLC. | CANACCORD GENUITY LLC | CANACCORD GENUITY INC. | CANACCORD ADAMS INC. | ADAMS, HARKNESS & HILL, INC.
CRD#: 1020 / SEC#: , 8-3271
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Pennsylvania Plaza Suite 2900, New York, NY 10119
Mailing Address
1 Post Office Square, Boston, MA 02109
Phone number
(212) 389-8000
Established
Delaware since 02/26/2004
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | |
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
Disclosures
| Regulatory Event | 45 |
| Bond | 1 |
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.
