Marvin L. Bader
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.
Marvin Larry Bader was a registered financial professional .
Marvin is a previously registered financial professional and started their career in finance in 1988. Marvin had worked at 1 firm and has passed the Series 63, Series 7, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 1988 - May 18, 1990
BROADPOINT DESCAP
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 1
Date: 2/12/1959
Registered Representative ExaminationSeries 00
Date: 3/14/1966
General Securities Principal ExaminationCurrent Firm
BROADPOINT DESCAP
CRD#: 14997 / SEC#: , 8-30645
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROADPOINT SECURITIES GROUP INC. | SOLE SHAREHOLDER OF BROADPOINT SECURITIES INC | |
| ANTINUCCI, HELENE O | FINOP/GSP/DIRECTOR OF FINANCE/CFO | 1392251 |
| CORWEN, STEPHEN MILLER | SALES MANAGER/GSP | 2943061 |
| FENSTERSTOCK, LEE | DIRECTOR | 1665151 |
| FINE, ROBERT MICHAEL | PRESIDENT/GSP/CEO/BOARD OF DIRECTORS | 1450313 |
| MACKLIN, JOHN TIMOTHY | GSP/DIRECTOR OF OPERATIONS/CCO | 1446800 |
| MCNIERNEY, PETER JOSEPH | BOARD OF DIRECTORS | 2470727 |
| TIRSCHWELL, ROBERT MOYSE | GSP/DIRECTOR OF TRADING/TRADING MANAGER | 2230453 |
Red Flags
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