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MC

Marcus Chau

SAF FINANCIAL SECURITIES
Stamford, CT
CRD#: 6946035
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MC
Marcus ChauSAF FINANCIAL SECURITIES

Professional summary

Marcus Chau is a registered financial professional currently at SAF FINANCIAL SECURITIES LLC located in Stamford, Connecticut.

Marcus is registered as a RR (Registered Representative) and started their career in finance in 2019. Marcus has worked at 4 firms and has passed the Series 63, Series 7TO, SIE 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marcus Chau's CRS (Customer Relationship Summary).
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

June 8, 2026 - Present

SAF FINANCIAL SECURITIES LLC

Office #2: 269 Red Fox Road, Stamford, CT 06903
BD
CRD#: 284938
Stamford, CT
Past

January 18, 2024 - August 5, 2025

MOONFARE SECURITIES USA

BD
CRD#: 325838
New York, NY
Past

February 2, 2022 - December 31, 2023

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
New York, NY
Past

November 16, 2019 - January 10, 2022

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
NASHVILLE, TN

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
New York
(6/8/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 11/26/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/15/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/6/2019
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/22/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SF
SAF FINANCIAL SECURITIES LLC
SAF FINANCIAL SECURITIES LLC

CRD#: 284938 / SEC#: , 8-69820

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

Main Address
269 Red Fox Road, Stamford, CT 06903
Mailing Address
269 Red Fox Road, Stamford, CT 06903
Phone number
(212) 202-2790
Established
Delaware since 06/02/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STRATEGIC ALTERNATIVE FUNDS GROUP, LLCMEMBER
FAROOQUI, RAFAY HASSANCCO, EXEC REP, AML, SUPERVISOR, CE3100932
HOPKINS, THOMAS JOHNCFO/FINOP1835087

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.

Company Information

SAF FINANCIAL SECURITIES LLC

CRD#: 284938Stamford, CT

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