Marc S. Maldonado
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.
Marc Stephen Maldonado, who also goes by Marc S Maldonado, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1989. Marc had worked at 7 firms and has passed the Series 65, Series 63, Series 2, Series 3 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
June 27, 2000 - December 31, 2002
PURISIMA SECURITIES, LLC
September 20, 1997 - October 30, 1998
FIRST FUND DISTRIBUTORS, INC.
July 8, 1997 - October 17, 2014
FISHER INVESTMENTS
June 7, 1994 - November 17, 1995
WELLS FARGO SECURITIES INC.
January 8, 1992 - June 26, 1992
CITIGROUP GLOBAL MARKETS INC.
May 14, 1991 - January 22, 1992
CIBC WORLD MARKETS CORP.
January 13, 1989 - June 3, 1991
LEHMAN BROTHERS 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 2
Date: 6/4/1996
Non-Member General Securities ExaminationCurrent Firm
PURISIMA SECURITIES, LLC
CRD#: 47882 / SEC#: , 8-51937
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FISHER INVESTMENTS, INC. | OWNER | |
| TEUFEL, ANDREW SEVERIN | PRESIDENT AND TREASURER | 2707217 |
Red Flags
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