Individual Firm
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SY HAROLD MARCUS
CRD#: 814607
IA
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 1515 S Federal Hwy Ste 208
BOCA RATON, FL 33432
BOCA RATON, FL 33432
0
Disclosures
49
Years of Experience
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State Registrations
B
California 10/23/2019
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Massachusetts 10/21/2008
B
Connecticut 1/1/2002
B
New Hampshire 1/5/2016
B
Florida 9/18/2018
B
New York 1/1/2002
B
Maryland 2/22/2010
B
Rhode Island 11/21/2001
B
Massachusetts 1/1/2002
SRO Registrations
B
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Registered with this firm since 10/21/2008
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Registered with this firm since 7/6/1976
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/12/1987 - 01/01/2002 | MILWAUKEE, WI | |
B | 11/07/1975 - 08/07/1976 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.