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Marcus T. Badger

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CRD#: 6971400
MB

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 Thomas Badger, who also goes by Marcus T Badger, Marcus Thomas Badger, was a registered financial professional .

Marcus is a previously registered financial professional and started their career in finance in 2018. Marcus had worked at 3 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Marcus T Badger | Marcus Thomas Badger

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 21, 2023 - January 17, 2024

WHELAN ADVISORY CAPITAL MARKETS, LLC

BD
CRD#: 312814
BOCA RATON, FL
Past

October 28, 2019 - April 22, 2023

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
Tysons, VA
Past

July 30, 2018 - November 4, 2019

MCLEAN SECURITIES, LLC

BD
CRD#: 104117
MCLEAN, VA

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

State Security Law Exam
RR
Series 63
Date: 10/15/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 7/30/2018
Investment Banking Registered Representative Examination

Current Firm

WA
WHELAN ADVISORY CAPITAL MARKETS, LLC
WHELAN ADVISORY CAPITAL MARKETS, LLC | WHELAN ADVISORY, LLC

CRD#: 312814 / SEC#: , 8-70672

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

Main Address
8600 Twin Lake Drive, Boca Raton, FL 33496
Mailing Address
8600 Twin Lake Drive, Boca Raton, FL 33496
Phone number
(917) 981-7539
Established
New York since 01/27/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
WHELAN, MARGARET MARYCEO/FOUNDER2919823
PORTWOOD, WILLIAM BOYCECFO/FINOP/PRINCIPAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER4853700

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

WHELAN ADVISORY CAPITAL MARKETS, LLC

CRD#: 312814

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