Marianna Prueger
Professional Summary
Marianna Prueger, who also goes by Marianna Katherine Prueger, Marianne Katherine Prueger, Marianne Prueger, is a registered financial advisor currently at TRANSPARENT 401K located in Houston, Texas and RAINMAKER SECURITIES, LLC located in New York, New York. Marianna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Marianna has worked at 6 firms and has passed the Series 63, Series 66, Series 7TO, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Marianna Katherine Prueger, Marianne Katherine Prueger, Marianne Prueger
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Videos & Posts
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Contact Information
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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
30 years in the financial services industry
Current & Past Employments
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Current Firm
401K LATINO | TRANSPARENT 401K, LLC | TRANSPARENT 401K | PRUEGER, MARIANNE KATHERINE
Contact Information
Main Address
Houston, TXPhone Number
(888) 631-3336# of Employees
1Documents
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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.
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State Registrations and Notice Filings
(11/3/2011)
(1/5/2018)
(11/23/2020)
(3/24/2025)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed May 2020About the Series 79TO examSeries 82TO — Limited Representative-Private Securities Offerings
Passed Feb 2020About the Series 82TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1996About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Aug 1996About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Marianna Prueger's CRS (Customer Relationship Summary).
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