MARKET SECURITIES, LLC loses Compliance Officer Lisa L. Smith. Smith, who served as Compliance Officer, has departed from MARKET SECURITIES, LLC, effective immediately.

Her role was crucial in ensuring regulatory adherence and operational integrity within the firm. The firm, a small limited liability company founded on March 8, 2016, operates under the primary regulation of the Securities and Exchange Commission (SEC) and is headquartered in New York, NY. MARKET SECURITIES, LLC is incorporated in Delaware and has no registered disclosures.

As an introducing broker-dealer, MARKET SECURITIES, LLC partners with RBC Capital Markets, LLC for clearing services, identified by CRD number 31194. The firm’s MPID is MKRT, and it engages in various business activities including retailing corporate equity securities, put and call options trading, private placements, proprietary trading, and chaperoning other broker-dealers. As of the latest financial snapshot, MARKET SECURITIES, LLC reported total assets under management with a year-over-year change not specified.

Source: FINRA BrokerCheck records and SEC FOCUS filings.