Diego S. Moraiz

MARCO POLO SECURITIES

NEW YORK, NY 10020

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CRD#: 3023248

Professional summary

Diego Sebastian Moraiz, who also goes by Diego S Moraiz, is a registered financial professional currently at MARCO POLO SECURITIES INC. located in New York, New York.

Diego is registered as a RR (Registered Representative) and started their career in finance in 1998. Diego has worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Diego S Moraiz

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Diego Sebastian Moraiz'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®

None

Experience

Current

January 16, 2025 - Present

MARCO POLO SECURITIES INC.

Office #1: 1230 Avenue Of Am 16th Floor, New York, NY 10020

CRD#: 46561

NEW YORK, NY

Past

April 14, 2023 - June 5, 2023

MAREX CAPITAL MARKETS INC.

CRD#: 161014

NEW YORK, NY

Past

May 31, 2018 - January 10, 2022

SANTANDER INVESTMENT SECURITIES INC.

CRD#: 37216

NEW YORK, NY

Past

June 23, 2015 - May 22, 2018

LARRAINVIAL SECURITIES US LLC

CRD#: 152424

NEW YORK, NY

Past

December 18, 1998 - September 13, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

June 5, 1998 - December 18, 1998

CITICORP SECURITIES, INC.

CRD#: 7474

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 8/4/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/31/2015

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/23/2015

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/26/2016

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MARCO POLO SECURITIES INC.

DEVINE SECURITIES INC. | MARCO POLO SECURITIES INC.

CRD#: 46561 / SEC#: , 8-51480

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1230 Avenue Of Am 16th Floor, New York, NY 10020

Mailing Address

1230 Avenue Am 16th Floor, New York, NY 10020

Phone number

(347) 773-4959

Established

New York since 10/26/1998

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MARCO POLO EXCHANGE LLC	OWNER
CARLSON, STEVEN JACK	CHAIRMAN & PRESIDENT, MANAGER OF CORP FIN, AND DIRECTOR	2026011
EBERSTADT, OLIVER ROBERT	CCO	1808170
MACK, ALEXANDER HERBERT	FINOP	4805607

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Diego S. Moraiz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Diego Sebastian Moraiz's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAREX CAPITAL MARKETS INC.

SANTANDER INVESTMENT SECURITIES INC.

LARRAINVIAL SECURITIES US LLC

CITIGROUP GLOBAL MARKETS INC.

CITICORP SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/4/2015

SIE

Date: 10/1/2018

Series 3

Date: 8/31/2015

Series 7

Date: 6/23/2015

Series 24

Date: 1/26/2016

FINRA

Current Firm

MARCO POLO SECURITIES INC.

Contact information

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

MARCO POLO SECURITIES INC.

TRUST BUT VERIFY

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