GM
Guillermo Marroquin
CAMPBELL LUTYENS & CO.
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2791001
GM
Professional summary
Guillermo Marroquin is a registered financial professional currently at CAMPBELL LUTYENS & CO. INC. located in Chicago, Illinois.
Guillermo is registered as a RR (Registered Representative) and started their career in finance in 1997. Guillermo has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Guillermo Marroquin's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 19, 2018 - Present
CAMPBELL LUTYENS & CO. INC.
Office #1: 444 West Lake Street 17th Floor, Chicago, IL 60606BD
CRD#: 133376
Chicago, IL
Past
July 17, 2013 - January 11, 2018
MACQUARIE CAPITAL (USA) INC.
BD
CRD#: 36368
CHICAGO, IL
Past
October 25, 2010 - July 1, 2013
CAMPBELL LUTYENS & CO. INC.
BD
CRD#: 133376
NEW YORK, NY
Past
January 5, 2007 - October 8, 2010
MACQUARIE CAPITAL (USA) INC.
BD
CRD#: 36368
CHICAGO, IL
Past
March 1, 2005 - September 20, 2006
BNY CAPITAL MARKETS INC.
BD
CRD#: 18303
NEW YORK, NY
Past
June 2, 2003 - November 16, 2004
DEBTTRADERS, INC.
BD
CRD#: 102120
NEW YORK, NY
Past
August 15, 2000 - October 30, 2002
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
July 16, 1997 - July 19, 1999
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/19/2018)
RR
Alaska(2/21/2018)
RR
Arizona(1/19/2018)
RR
Arkansas(2/21/2018)
RR
California(1/19/2018)
RR
Colorado(1/19/2018)
RR
Connecticut(1/19/2018)
RR
Delaware(1/19/2018)
RR
District of Columbia(1/19/2018)
RR
Florida(1/19/2018)
RR
Georgia(1/19/2018)
RR
Hawaii(1/19/2018)
RR
Idaho(2/21/2018)
RR
Illinois(1/19/2018)
RR
Indiana(1/19/2018)
RR
Iowa(2/21/2018)
RR
Kansas(1/19/2018)
RR
Kentucky(2/21/2018)
RR
Louisiana(1/19/2018)
RR
Maine(1/19/2018)
RR
Maryland(1/19/2018)
RR
Massachusetts(1/19/2018)
RR
Michigan(1/19/2018)
RR
Minnesota(1/19/2018)
RR
Mississippi(2/21/2018)
RR
Missouri(1/19/2018)
RR
Montana(2/21/2018)
RR
Nebraska(1/19/2018)
RR
Nevada(1/19/2018)
RR
New Hampshire(1/19/2018)
RR
New Jersey(1/19/2018)
RR
New Mexico(1/19/2018)
RR
New York(1/19/2018)
RR
North Carolina(1/19/2018)
RR
North Dakota(1/19/2018)
RR
Ohio(1/19/2018)
RR
Oklahoma(1/19/2018)
RR
Oregon(1/19/2018)
RR
Pennsylvania(1/19/2018)
RR
Rhode Island(1/19/2018)
RR
South Carolina(2/21/2018)
RR
South Dakota(2/21/2018)
RR
Tennessee(1/19/2018)
RR
Texas(1/19/2018)
RR
Utah(1/19/2018)
RR
Vermont(2/21/2018)
RR
Virginia(1/19/2018)
RR
Washington(1/19/2018)
RR
West Virginia(2/21/2018)
RR
Wisconsin(1/19/2018)
RR
Wyoming(1/19/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CL
CAMPBELL LUTYENS & CO. INC.
CAMPBELL LUTYENS & CO. INC.
CRD#: 133376 / SEC#: , 8-66720
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
630 Fifth Ave. 36th Floor, New York, NY 10111
Mailing Address
630 Fifth Ave. 36th Floor, New York, NY 10111
Phone number
(212) 223-8448
Established
Delaware since 03/04/2004
Firm type
Corporation
Fiscal year end
April
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMPBELL LUTYENS HOLDINGS LIMITED | HOLDING CO. OWNER | |
| COOPER, GERALD LEWIS | DIRECTOR | 4848399 |
| DAVIDSSON, CHRISTOFFER | PRESIDENT/DIRECTOR | 3021081 |
| MARROQUIN, GUILLERMO | DIRECTOR | 2791001 |
| PANGBORN, JOEL WILLIAMSON | CHIEF COMPLIANCE OFFICER | 5489742 |
| PAOLINO, CHRISTOPHER SR | FINANCIAL AND OPERATIONS PRINCIPAL | 5707178 |
| SANDSTROM, SARAH ANNE | DIRECTOR | 2278556 |
| WIENER, GREGORY SETH | AMLCO/DIRECTOR | 4877612 |
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.
