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Marianna Prueger

TRANSPARENT 401K
HOUSTON, TX
·CRD# 2712699·30 years experience

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

Advisory Accounts Only

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

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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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

TRANSPARENT 401K·CRD# 158308
RIA
Houston, TX
November 3, 2011 - Present
RAINMAKER SECURITIES, LLC·CRD# 132995
BD
New York, NY
March 21, 2025 - Present
YOUNG AMERICA CAPITAL, LLC·CRD# 150443
BD
Mamaroneck, NY
February 25, 2020 - December 20, 2023
EMPOWER FINANCIAL SERVICES, INC.·CRD# 13109
BD
Lafayette, CA
February 2, 2007 - August 18, 2009
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
RIA
San Francisco, CA
October 1, 2004 - December 20, 2006
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
BD
San Francisco, CA
September 13, 2004 - December 20, 2006
FUND MANAGEMENT COMPANY·CRD# 25585
BD
Houston, TX
May 8, 1996 - November 4, 1996

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Current Firm

T4
TRANSPARENT 401K

401K LATINO | TRANSPARENT 401K, LLC | TRANSPARENT 401K | PRUEGER, MARIANNE KATHERINE

CRD#: 158308
California
Registered Investment Advisory firm - California (11/3/2011 Approved)
Colorado
Registered Investment Advisory firm - Colorado (1/5/2018 Approved)
Texas
Registered Investment Advisory firm - Texas (11/23/2020 Approved)

Contact Information

Main Address

Houston, TX

Phone Number

(888) 631-3336

# of Employees

1

Documents

Latest Form ADV

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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.

WebCRD - Marianna Prueger - CRD 2712699 Since June 2011 Ms. Prueger has been engaged in an outside business activity as a Founder of Transparent 401k LLC the company is a 401K consultant. Transparent 401K has no affiliation to Young America Capital, LLC and is investment related. The firm's offices are in Houston, TX. Duties include advising companies on business management and 401K plans. Ms. Prueger will receive fees and compensation for duties performed. Ms. Prueger will dedicate 1 hr per week or time as needed. ____ WebCRD - Marianna Prueger Starting November 2023, Ms. Prueger will be engaged in an outside business activity at Champagne Tourist as Travel Advisor. Champagne Tourist provides travel services for luxury clients; i.e. bookings at high end hotels, destinations like Monaco Grand Prix; Champagne, France, etc. The firm's offices are located in Houston, TX. Duties include book Travel for luxury clients and film high-end hotels and destinations. Ms. Prueger will dedicate an estimated 20 hours of his time per week to this endeavor. ____ Substitute Math Teacher at Scoot Education; Math Instruction in Underserved Communities Dedicated to helping students in economically challenged neighborhoods build confidence and skills in mathematics; Start Date: 08/2025; twice a month

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
IAR
California
(11/3/2011)
IAR
Colorado
(1/5/2018)
IAR
Texas
(11/23/2020)
RR
Texas
(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 63 — Uniform Securities Agent State Law Examination

Passed Jul 2025About the Series 63 exam

Series 66 — Uniform Combined State Law Examination

Passed Sep 2004About the Series 66 exam

Series 7TO — General Securities Representative Examination

Passed Jun 2025About the Series 7TO exam

Series 79TO — Investment Banking Registered Representative Examination

Passed May 2020About the Series 79TO exam

Series 82TO — Limited Representative-Private Securities Offerings

Passed Feb 2020About the Series 82TO exam

SIE — Securities Industry Essentials Examination

Passed Dec 2019About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 2004About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed May 1996About the Series 6 exam

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed Aug 1996About the Series 26 exam
FINRA
SRO 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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