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Marnie Amber Rustemeyer

CRD# 2294878·Registered 1993 - 2014
Previously Registered: Being a previously registered professional could mean that Marnie 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.

Professional Summary

Marnie Amber Rustemeyer, who also goes by Marnie Amber Brinkman, Marnie Amber Colucci, was a registered financial advisor. Marnie was a previously registered financial professional and started their career in finance 1993 - 2014. Marnie had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Marnie Amber Brinkman, Marnie Amber Colucci

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

33 years in the financial services industry

Current & Past Employments

CAPITAL GUARDIAN, LLC·CRD# 137919
BD
New York, NY
August 5, 2014 - December 4, 2014
TRUIST SECURITIES, INC.·CRD# 6271
BD
New York, NY
November 16, 2010 - August 28, 2014
NEWBRIDGE SECURITIES CORPORATION·CRD# 104065
BD
Boca Raton, FL
March 11, 2010 - August 6, 2010
NOMURA SECURITIES INTERNATIONAL, INC.·CRD# 4297
BD
New York, NY
July 25, 2005 - September 16, 2009
J.P. MORGAN SECURITIES LLC·CRD# 79
BD
New York, NY
May 21, 2002 - February 13, 2004
SOUTHWEST CORPORATE INVESTMENT SERVICES, LLC·CRD# 44970
BD
Plano, TX
September 11, 1998 - May 15, 2002
BA INVESTMENT SERVICES, INC.·CRD# 12965
BD
Oakland, CA
June 24, 1998 - July 21, 1998
ABN AMRO INCORPORATED·CRD# 15776
BD
Stamford, CT
January 21, 1998 - April 29, 1998
KIDDER, PEABODY & CO. INCORPORATED·CRD# 7613
BD
New York, NY
May 5, 1993 - November 18, 1994

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Current Firm

CG
CAPITAL GUARDIAN, LLC

CAPITAL GUARDIAN, LLC

CRD#: 137919 / SEC#: 8-67133
BD
Terminated by SEC on 09/11/2017

Contact Information

Established

North Carolina since 02/15/2005

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL GUARDIAN HOLDING COMPANY, LLCOWNER—
FACELLA, STEPHEN RMD2912309
KARAFFA, JOHN EDWARDCHIEF FINANCIAL OFFICER4623625
RAMOS, SANDRO LOUISCCO INTERM1695283

Disclosures

Regulatory Event

5

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1998About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Dec 2014About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 1993About the Series 7 exam

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CRS (Client Relationship Summary)

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

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