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LA

Luisa M. Arellano Brakman

Some features on this profile are disabled
CRD#: 2284810
LA

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.

Luisa M Arellano Brakman, who also goes by Luisa M Arellano, Luisa M Arellano-brakman, Luisa M Rangel, was a registered financial professional .

Luisa is a previously registered financial professional and started their career in finance in 1994. Luisa had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Luisa M Arellano | Luisa M Arellano-Brakman | Luisa M Rangel

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 16, 2009 - May 31, 2013

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

August 10, 2004 - January 28, 2009

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

February 25, 2002 - August 6, 2004

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

September 15, 2000 - November 20, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

November 13, 1995 - January 26, 1999

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

August 10, 1994 - November 9, 1995

BBVA SECURITIES INC.

BD
CRD#: 27060
NEW YORK, NY

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
RR
Series 63
Date: 9/9/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/17/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/27/2007
General Securities Principal Examination

Current Firm

CREDIT AGRICOLE SECURITIES (USA) INC.
CREDIT AGRICOLE SECURITIES (USA) INC.
CALYON SECURITIES (USA) INC | EURO PARTNERS SECURITIES CORPORATION | CREDIT LYONNAIS SECURITIES (USA), INC. | CREDIT AGRICOLE SECURITIES (USA) INC. | CL GLOBALPARTNERS SECURITIES CORPORATION | CALYON SECURITIS (USA) INC.

CRD#: 190 / SEC#: , 8-13753

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1301 Avenue Of The Americas - 9th Floor, New York, NY 10019
Mailing Address
1301 Avenue Of The Americas - 9th Floor, New York, NY 10019
Phone number
(212) 261-7000
Established
New York since 01/30/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CREDIT AGRICOLE GLOBAL PARTNERS INC. ("CAGPI")SHAREHOLDER
ARNAL, CELINEDIRECTOR7247072
GEROLD, MARIA TERESACFO5967881
HETIER, FRANCOIS-EDOUARD MARIE MARCDIRECTOR7817148
KURZ, WILLIAM FRANKMEMBER OF THE BOARD OF DIRECTORS AND COO7602164
PUBLIE, STEPHANEINTERIM CEO AND MEMBER OF THE BOARD OF DIRECTORS5978052
YOUN, EDWARD KYUNG-HOCHIEF COMPLIANCE OFFICER6723958
ZAFAR, KASHIFMANAGING DIRECTOR2666642

Disclosures

Regulatory Event18

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.

Company Information

CREDIT AGRICOLE SECURITIES (USA) INC.

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190

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