Marie Shaub
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.
Marie Shaub, who also goes by Marie Brugueras, Mariya Shaub, was a registered financial professional .
Marie is a previously registered financial professional and started their career in finance in 1999. Marie had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 79, Series 3, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2011 - December 9, 2014
NEAR EARTH, LLC
September 14, 2007 - June 1, 2009
BANC OF AMERICA SECURITIES LLC
July 2, 2002 - February 19, 2003
EQUITABLE ADVISORS, LLC
May 14, 2001 - February 19, 2003
EQUITABLE ADVISORS, LLC
March 6, 2001 - April 27, 2001
BURLINGTON CAPITAL MARKETS INC.
June 18, 1999 - June 12, 2000
OPPENHEIMER & CO. INC.
May 14, 1999 - June 2, 1999
HERZOG, HEINE, GEDULD, 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
Series 55
Date: 7/24/1999
Limited Representative-Equity Trader ExamCurrent Firm
NEAR EARTH, LLC
CRD#: 126041 / SEC#: , 8-65846
Contact information
FINRA licenses (12 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.
