Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Marcy? Claim Your ProfileMarcy Rich is an investment advisor representative at J.P. Morgan Securities LLC. Marcy has been registered with FINRA for over 15 years and has a wide range of experience in the industry. Marcy is registered with both FINRA and the SEC and has earned Series 7, SIE, and Series 66 licenses. Marcy has worked in several brokerage firms and has a deep understanding of the financial markets. Marcy provides investment advice to a wide range of clients, including individuals, businesses, and institutions.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
06/03/2019 - Present
J.p. Morgan Securities LLC (SAN FRANCISCO CA)
CA
07/12/2017 - 08/23/2017
CALDWELL SUTTER CAPITAL, INC. (SAUSALITO CA)
CA
06/02/2017 - 07/31/2017
SUTTER SECURITIES INCORPORATED (IRVINE CA)
CA
04/20/2009 - 06/02/2016
PCBB CAPITAL MARKETS, LLC (WALNUT CREEK CA)
CA
06/19/2006 - 09/12/2007
BEAR, STEARNS & CO. INC. (SAN FRANCISCO CA)
CA
06/19/2006 - 09/12/2007
BEAR, STEARNS SECURITIES CORP. (SAN FRANCISCO CA)
BOTH
Issued 6/22/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/16/2006
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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