Marcos A. Rionda
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.
Marcos Alberto Rionda, who also goes by Alberto Marcos Rionda, Marcos A Rionda, Mark A Rionda, was a registered financial professional .
Marcos is a previously registered financial professional and started their career in finance in 1993. Marcos had worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2016 - January 4, 2018
THE LEADERS GROUP, INC.
February 5, 2015 - January 7, 2016
BLUEROCK CAPITAL MARKETS LLC
April 15, 2011 - December 22, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 14, 2011 - December 22, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 17, 2010 - February 28, 2011
WELLS FARGO CLEARING SERVICES, LLC
November 10, 2010 - February 28, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 22, 2010 - August 19, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 9, 2009 - August 19, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 13, 2009 - November 18, 2009
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - November 18, 2009
PNC WEALTH MANAGEMENT LLC
June 5, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
June 5, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
January 1, 2008 - May 13, 2009
UBS FINANCIAL SERVICES INC.
October 13, 1993 - January 21, 1994
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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