Articles Tagged with Marc Steinberg

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Marc SteinbergPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2018 indicate that Florida-based Westpark Capital broker/adviser Marc Steinberg has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Steinberg (CRD# 2549670).

Marc Steinberg has spent 23 years in the securities industry and has been registered with Westpark Capital in Boca Raton, Florida since 2016. Previous registrations include Dawson James Securities in Boca Raton, Florida (2006-2016); National Securities Corporation in Boca Raton, Florida (2003-2006); Gilford Securities in New York, New York (1998-2003); and Joseph Stevens & Company in Brooklyn, New York (1995-1998). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 1, 2015; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 27, 1994; Series 7 (General Securities Representative Examination), which he obtained on November 1, 1994; and Series 24 (General Securities Principal Examination), which he obtained on February 14, 1996. He is a registered broker and investment adviser with 12 US states and territories: California, Colorado, Connecticut, Florida, Georgia, New Jersey, New Mexico, New York, Oregon, Pennsylvania, Texas, and Wisconsin.

According to his BrokerCheck report, he has received two customer complaints and three denied customer complaints.