Marianne Rafferty

ZANBATO SECURITIES LLC

Mountain View, CA 94043

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CRD#: 1982973

Professional summary

Marianne Rafferty, who also goes by Marianne Luberto, Marianne Kathleen Rafferty, is a registered financial professional currently at ZANBATO SECURITIES LLC located in Mountain View, California.

Marianne is registered as a RR (Registered Representative) and started their career in finance in 1989. Marianne has worked at 11 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Marianne Luberto | Marianne Kathleen Rafferty

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marianne Rafferty's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 27, 2023 - Present

ZANBATO SECURITIES LLC

Office #1: 711 / 715 N. Shoreline Blvd., Mountain View, CA 94043

CRD#: 279028

Mountain View, CA

Past

March 21, 2023 - September 27, 2023

REALTA EQUITIES, INC.

CRD#: 23769

WILMINGTON, DE

Past

July 22, 2019 - September 5, 2019

CRESCENDO MARKETS LLC

CRD#: 298072

NEW YORK, NY

Past

June 7, 2018 - March 9, 2021

CORNWALL PARTNERS, LLC

CRD#: 141684

NEW YORK, NY

Past

March 26, 2018 - January 22, 2019

OPTIMA SECURITIES LLC

CRD#: 168881

NEW YORK, NY

Past

November 3, 2016 - March 29, 2021

EMU SECURITIES LLC

CRD#: 282630

NEW YORK, NY

Past

July 28, 2011 - April 26, 2016

RB INTERNATIONAL MARKETS (USA) LLC

CRD#: 156031

NEW YORK, NY

Past

June 6, 2000 - September 15, 2006

UNICREDIT CAPITAL MARKETS LLC

CRD#: 7789

NEW YORK, NY

Past

August 27, 1998 - February 22, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

September 16, 1993 - September 14, 1998

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

December 10, 1991 - May 4, 1993

TD SECURITIES (USA) LLC

CRD#: 18476

NEW YORK, NY

Past

September 21, 1989 - July 11, 1991

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 7/22/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/16/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 5/11/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ZANBATO SECURITIES LLC

CRD#: 279028 / SEC#: , 8-69654

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

711 / 715 N. Shoreline Blvd., Mountain View, CA 94043

Mailing Address

711 / 715 N. Shoreline Blvd., Mountain View, CA 94043

Phone number

(650) 557-2333

Established

Delaware since 06/17/2015

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (41 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ZANBATO HOLDING COMPANY LLC	MEMBER
FITZGERALD, HEATHER	CFO	4427665
RAFFERTY, MARIANNE	CCO	1982973
SAND, KNUT NICOLAI	CEO	6115928
WRIGHT, GREGORY LANCE	PRESIDENT	1564124

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.

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Advisor Monitoring

Firm Stability Insights

Marianne Rafferty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marianne Rafferty's CRS (Customer Relationship Summary).

Certified licenses

Experience

REALTA EQUITIES, INC.

CRESCENDO MARKETS LLC

CORNWALL PARTNERS, LLC

OPTIMA SECURITIES LLC

EMU SECURITIES LLC

RB INTERNATIONAL MARKETS (USA) LLC

UNICREDIT CAPITAL MARKETS LLC

DB ALEX. BROWN LLC

UBS SECURITIES LLC

TD SECURITIES (USA) LLC

DB ALEX. BROWN LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/22/2011

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/16/1989

Series 14

Date: 1/2/2023

Series 24

Date: 5/11/2011

FINRA

Current Firm

ZANBATO SECURITIES LLC

Contact information

FINRA licenses (41 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ZANBATO SECURITIES LLC

TRUST BUT VERIFY

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