Arturo E. Gorena
Professional summary
Arturo Elias Gorena was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Arturo is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Arturo had worked at 6 firms, which includes MARINER INVESTMENT GROUP, COWEN AND COMPANY, FINANCIAL SQUARE PARTNERS, INVESCO DISTRIBUTORS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 1999 - March 23, 2000
MARINER INVESTMENT GROUP
July 1, 1998 - January 4, 1999
COWEN AND COMPANY
January 1, 1996 - July 1, 1998
FINANCIAL SQUARE PARTNERS
August 31, 1995 - December 13, 1995
MARINER INVESTMENT GROUP
September 6, 1991 - October 5, 1993
INVESCO DISTRIBUTORS, INC.
October 17, 1989 - March 13, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 18, 1989 - September 23, 1989
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
MARINER INVESTMENT GROUP
CRD#: 35993 / SEC#: , 8-47067
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
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