Marc S. Weinbaum
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Marc Steven Weinbaum was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 2019. Marc had worked at 1 firm and has passed the Series 63, Series 22, SIE and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2019 - April 8, 2024
PLUM CAPITAL, LLC
State Registrations and Notice Filings
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Exams
Current Firm
PLUM CAPITAL, LLC
CRD#: 289343 / SEC#: , 8-69988
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLAINE, RONALD STEPHEN | SOLE MEMBER / CCO | |
| THORNTON, STEVEN LEE | FINOP, POO, PFO | 4496384 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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