Marcos A. Rionda
Professional summary
Marcos Alberto Rionda, who also goes by Alberto Marcos Rionda, Marcos A Rionda, Mark A Rionda, is a registered financial professional currently at PAULSON INVESTMENT COMPANY LLC located in New York, New York.
Marcos is registered as a RR (Registered Representative) and started their career in finance in 1993. Marcos has worked at 10 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Marcos Alberto Rionda's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 12, 2025 - Present
PAULSON INVESTMENT COMPANY LLC
Office #1: 40 Wall Street 39th Floor, New York, NY 10005July 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
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/20/2026)
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Exams
Series 7TO
Date: 12/12/2025
General Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
Red Flags
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