Lourdes Barreneche
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.
Lourdes Barreneche was a registered financial professional .
Lourdes is a previously registered financial professional and started their career in finance in 1985. Lourdes had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2020 - April 17, 2023
PICKWICK CAPITAL PARTNERS, LLC
October 1, 2010 - August 19, 2020
SECUREVEST FINANCIAL GROUP
October 6, 2009 - October 7, 2010
SOUND SECURITIES, LLC
July 2, 2007 - June 24, 2009
FAIRFIELD HEATHCLIFF CAPITAL LLC
October 26, 1994 - August 25, 1997
DONALDSON & CO., INCORPORATED
November 13, 1991 - September 30, 1993
OPPENHEIMER & CO. INC.
February 27, 1989 - October 24, 1991
LEHMAN BROTHERS INC.
December 6, 1985 - March 11, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
| RISSER, SUZANNE LOUISE | CCO | 1303694 |
Red Flags
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