Manuel A. Maurtua
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.
Manuel Augusto Maurtua, who also goes by Manolo Maurtua, Manuel Maurtua, Manuel A Maurtua Helden, was a registered financial professional .
Manuel is a previously registered financial professional and started their career in finance in 1986. Manuel had worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 4, Series 53 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
June 22, 2016 - January 17, 2025
SABADELL SECURITIES USA, INC.
December 5, 2012 - May 16, 2016
OCEAN FINANCIAL SERVICES, LLC
May 2, 2011 - April 25, 2012
CREDICORP CAPITAL LLC
April 18, 2011 - April 25, 2012
CREDICORP CAPITAL LLC
March 23, 2010 - March 30, 2011
SANTANDER SECURITIES LLC
December 3, 1996 - March 30, 2011
SANTANDER SECURITIES LLC
August 22, 1995 - September 10, 1996
MARKETING ONE SECURITIES, INC.
October 11, 1993 - July 17, 1995
MARKETING ONE SECURITIES, INC.
June 23, 1987 - September 14, 1992
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
May 14, 1986 - May 1, 1987
CITICORP 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SABADELL SECURITIES USA, INC.
CRD#: 148137 / SEC#: 801-71763, 8-67975
Contact information
FINRA licenses (9 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANCO SABADELL, SA | PARENT | |
| DINAMARCA, RUBEN ANDRES | COO | 6201999 |
| FERNANDEZ, JULIAN VALENTIN | DIRECTOR | 6138371 |
| LABISTE, VIRGINIA | PRESIDENT/ CEO | 5654675 |
| RODRIGUEZ, GLORIA M | CCO | 5179878 |
| SINGER, STEVEN FREDERIC | FINOP/ CFO | 2360737 |
| TORRAS, JORDI | MEMBER OF BOARD OF DIRECTORS | 6547780 |
| VILLOLDO, JORGE PATRICK | DIRECTOR | 4370481 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
