Susana A. Vivares
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.
Susana Adelina Vivares, who also goes by Susana VIvares, was a registered financial professional .
Susana is a previously registered financial professional and started their career in finance in 1997. Susana had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2020 - December 14, 2022
MARCO POLO SECURITIES INC.
September 1, 2017 - January 31, 2019
KEMA PARTNERS LLC
July 2, 2012 - September 17, 2012
PORTIGON SECURITIES INC.
November 18, 1997 - February 4, 1999
TD SECURITIES (USA) 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
MARCO POLO SECURITIES INC.
CRD#: 46561 / SEC#: , 8-51480
Contact information
FINRA licenses (35 States and Territories)
Documents
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.
