Marta Otero
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.
Marta Otero, who also goes by Marta Holt, Marta Otero, Marta Otero-holt, was a registered financial professional .
Marta is a previously registered financial professional and started their career in finance in 1995. Marta had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2023 - January 5, 2026
PWA SECURITIES, LLC
October 2, 2020 - August 25, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 13, 2013 - October 2, 2020
RAYMOND JAMES & ASSOCIATES, INC.
October 19, 2009 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
January 23, 2002 - October 19, 2009
COLONIAL BROKERAGE, INC.
July 18, 2000 - January 22, 2002
FISERV INVESTOR SERVICES, INC.
July 29, 1998 - July 11, 2000
TRUIST INVESTMENT SERVICES, INC.
May 16, 1997 - March 3, 1998
BARNETT INVESTMENTS, INC.
August 30, 1995 - May 6, 1997
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PWA SECURITIES, LLC
CRD#: 321974 / SEC#: , 8-70938
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PWA HOLDINGS, LLC | MEMBER | |
| DONELSON, LISA ANTOINETTE | COMPLIANCE OFFICER | 2248926 |
| HEDIGER, LEE FREDERICK | BOARD OF DIRECTORS | 2696174 |
| KRAVEC, ALAN STEVEN | CHIEF COMPLIANCE OFFICER | 1530271 |
| MOLL, TODD ANTHONY | BOARD OF DIRECTORS, REGISTERED OPTIONS PRINCIPAL | 2134560 |
| ROSANEL, JOSEPH PINHAS | FINANCIAL & OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER | 6215325 |
| SAKA, JOSEPH LESTER | BOARD OF DIRECTORS | 7704169 |
| SCANLAN, THOMAS JOSEPH | PRESIDENT, COO, MUNI PRINCIPAL, POO | 3182780 |
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.
