JT
Jorge A. Tapia
MAREX CAPITAL MARKETS
New York, NY 10017
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CRD#: 6905362
JT
Professional summary
Jorge Andres Tapia is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in New York, New York.
Jorge is registered as a RR (Registered Representative) and started their career in finance in 2018. Jorge has worked at 2 firms and has passed the Series 63, Series 57TO, Series 3, SIE and Series 7 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 Jorge Andres Tapia'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
October 16, 2020 - Present
MAREX CAPITAL MARKETS INC.
Office #1: 140 East 45th Street 10th Floor, New York, NY 10017BD
CRD#: 161014
New York, NY
Past
June 18, 2018 - September 25, 2020
BGC FINANCIAL, L.P.
BD
CRD#: 19801
MIAMI, FL
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(10/24/2023)
RR
California(10/16/2020)
RR
Colorado(10/24/2023)
RR
Connecticut(10/16/2020)
RR
Florida(10/16/2020)
RR
Georgia(10/16/2020)
RR
Illinois(10/16/2020)
RR
Louisiana(10/24/2023)
RR
Maine(10/16/2020)
RR
Massachusetts(10/16/2020)
RR
Michigan(10/24/2023)
RR
Minnesota(10/16/2020)
RR
New Jersey(10/16/2020)
RR
New York(10/16/2020)
RR
North Carolina(10/24/2023)
RR
Oregon(10/24/2023)
RR
Pennsylvania(10/16/2020)
RR
Texas(10/16/2020)
RR
Virginia(10/24/2023)
RR
Washington(10/24/2023)
RR
Wisconsin(10/24/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 12/15/2022
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
MC
MAREX CAPITAL MARKETS INC.
E D & F MAN CAPITAL MARKETS INC. | MPS | MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
140 East 45th Street 10th Floor, New York, NY 10017
Mailing Address
140 East 45th Street 10th Floor, New York, NY 10017
Phone number
(212) 618-2800
Established
New York since 01/10/1952
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
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.
