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VL

Victor G. Lugo

MARIVA CAPITAL MARKETS
Miami, FL 33131
Some features on this profile are disabled
CRD#: 3171340
VL

Professional summary

Victor Gabriel Lugo is a registered financial professional currently at MARIVA CAPITAL MARKETS, LLC located in Miami, Florida.

Victor is registered as a RR (Registered Representative) and started their career in finance in 1999. Victor has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Victor Gabriel Lugo's CRS (Customer Relationship Summary).
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

September 5, 2023 - Present

MARIVA CAPITAL MARKETS, LLC

Office #1: 150 Se 2nd Avenue Suite Ph 4, Miami, FL 33131
BD
CRD#: 156171
Miami, FL
Past

March 19, 2019 - July 18, 2023

SMBC NIKKO SECURITIES AMERICA, INC.

BD
CRD#: 28602
NEW YORK, NY
Past

October 3, 2017 - February 7, 2019

MORGAN STANLEY

RIA
CRD#: 149777
MIAMI, FL
Past

August 28, 2017 - February 7, 2019

MORGAN STANLEY

BD
CRD#: 149777
MIAMI, FL
Past

July 20, 2015 - August 15, 2017

RENCAP SECURITIES, INC.

BD
CRD#: 37821
NEW YORK, NY
Past

June 21, 2011 - July 16, 2015

SBERBANK CIB USA, INC.

BD
CRD#: 47972
NEW YORK, NY
Past

August 13, 2009 - June 22, 2011

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

August 6, 2007 - July 31, 2009

RENCAP SECURITIES, INC.

BD
CRD#: 37821
NEW YORK, NY
Past

April 26, 2004 - August 21, 2007

ING FINANCIAL MARKETS LLC

BD
CRD#: 28872
NEW YORK, NY
Past

December 17, 2001 - April 21, 2004

SANTANDER SECURITIES LLC

BD
CRD#: 41791
BOSTON, MA
Past

October 12, 2000 - November 13, 2001

SANTANDER INVESTMENT SECURITIES INC.

BD
CRD#: 37216
NEW YORK, NY
Past

March 30, 1999 - September 15, 2000

ICBC STANDARD SECURITIES INC.

BD
CRD#: 35560
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
California
(3/5/2025)
RR
Connecticut
(3/5/2025)
RR
Florida
(9/5/2023)
RR
Illinois
(3/5/2025)
RR
Massachusetts
(3/5/2025)
RR
Minnesota
(3/5/2025)
RR
New Jersey
(3/5/2025)
RR
New York
(3/5/2025)
RR
Ohio
(9/25/2025)
RR
Pennsylvania
(3/5/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/2/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/3/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/29/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/12/2012
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MARIVA CAPITAL MARKETS, LLC
MARIVA CAPITAL MARKETS, LLC

CRD#: 156171 / SEC#: , 8-68774

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
150 Se 2nd Avenue Suite Ph 4, Miami, FL 33131
Mailing Address
150 Se 2nd Avenue Suite Ph 4, Miami, FL 33131
Phone number
(305) 712-6919
Established
Florida since 04/13/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MARIVA HOLDING GROUP, LLCSHAREHOLDER
GONZALEZ, CARLOS JAVIERCCO4294205
PARODI, GUILLERMO ANDRESCEO2829165
SINGER, STEVEN FREDERICFINOP2360737

Disclosures

Regulatory Event1

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.

Company Information

MARIVA CAPITAL MARKETS, LLC

CRD#: 156171Miami, FL 33131

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