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Howard Marcus

B. Riley Wealth Management

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About Howard Marcus

Howard Marcus is a financial advisor with over 40 years of experience in the financial services industry. Howard is currently registered with B. Riley Wealth Management. Prior to joining B. Riley Wealth Management, Howard was with Dominick & Dominick LLC, Citigroup Global Markets Inc., CitiCorp Investment Services, CitiCorp Financial Services, Inc., Lehman Brothers Inc. and Prudential-Bache Securities Inc. Howard is licensed to conduct business in California, Connecticut, Florida, Georgia, Maryland, New Jersey, New York, Ohio, Pennsylvania, and Virginia. Howard holds the following securities licenses: Series 3, Series 7, Series 24, and Series 63. Howard also holds the Series 65 license.

Firm Information

Howard Marcus is currently registered with B. Riley Wealth Management. B. Riley Wealth Management is a Corporation formed on January 10, 1992. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

130

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Howard Marcus’s Registration & Firm History

NY

01/21/2015 - Present

B. Riley Wealth Management (New York NY)

NY

12/13/2007 - 01/28/2015

DOMINICK & DOMINICK LLC (NEW YORK NY)

NY

05/29/2007 - 12/21/2007

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

06/01/1992 - 05/29/2007

CITICORP INVESTMENT SERVICES (NEW YORK NY)

NA

05/06/1992 - 06/01/1992

CITICORP FINANCIAL SERVICES,INC.

NY

07/26/1990 - 01/11/1991

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

07/22/1982 - 07/27/1990

PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)

NA

06/23/1981 - 06/09/1982

OTC NET INCORPORATED

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Licenses & Designations

IA

Issued 10/26/2004

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/30/1981

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/24/1994

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/29/1989

Series 3 - National Commodity Futures Examination

BC

Issued 06/20/1981

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 11 public disclosures for Howard Marcus. Review regulatory record here.
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