Robert J. Marcus
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.
Robert Joel Marcus, who also goes by Bobby Marcus, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1976. Robert had worked at 7 firms and has passed the Series 63, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2007 - October 18, 2013
STERNE, AGEE & LEACH, INC.
March 20, 1998 - June 22, 2007
KEYBANC CAPITAL MARKETS INC.
April 26, 1995 - February 24, 1998
BARCLAYS CAPITAL INC.
April 30, 1991 - May 4, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
July 5, 1989 - April 30, 1991
MABON, NUGENT & CO.
January 24, 1979 - July 15, 1989
THOMSON MCKINNON SECURITIES INC.
May 3, 1976 - February 15, 1979
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/16/1981
Interest Rate Options ExaminationCurrent Firm
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
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.
