Marcus Chau
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.
Marcus Chau was a registered financial professional .
Marcus is a previously registered financial professional and started their career in finance in 2019. Marcus had worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2024 - August 5, 2025
MOONFARE SECURITIES USA
February 2, 2022 - December 31, 2023
FORESIDE FUND SERVICES, LLC
November 16, 2019 - January 10, 2022
SANFORD C. BERNSTEIN & CO., LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 11/15/2019
General Securities Representative ExaminationCurrent Firm
MOONFARE SECURITIES USA
CRD#: 325838 / SEC#: , 8-71091
Contact information
FINRA licenses (50 States and Territories)
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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