Humberto Rios
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Humberto Rios, who also goes by Bert Rios, was a registered financial professional .
Humberto is a previously registered financial professional and started their career in finance in 1985. Humberto had worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 55, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2023 - April 8, 2025
MAREX CAPITAL MARKETS INC.
August 10, 2021 - December 13, 2023
COWEN AND COMPANY
July 30, 2014 - February 10, 2022
COWEN PRIME SERVICES LLC
June 13, 2013 - March 21, 2014
SRT SECURITIES LLC
December 7, 2009 - February 10, 2011
B. RILEY SECURITIES, INC.
June 1, 2006 - November 23, 2009
SHORELINE TRADING GROUP LLC
August 1, 2005 - February 1, 2006
GOLDMAN SACHS & CO. LLC
March 12, 1986 - August 2, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
October 1, 1985 - November 1, 1985
GRUNTAL & CO., L.L.C.
May 21, 1985 - October 1, 1985
JII SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 2/24/1999
Limited Representative-Equity Trader ExamCurrent Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
Red Flags
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