Marilyn Pianelli
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.
Marilyn Pianelli, who also goes by Marilyn Matlow, was a registered financial professional .
Marilyn is a previously registered financial professional and started their career in finance in 2001. Marilyn had worked at 7 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2013 - January 27, 2020
ALTERNATIVE EXECUTION GROUP
March 5, 2012 - January 30, 2014
MERCATOR ASSOCIATES, LLC
August 23, 2010 - January 10, 2012
RAFFERTY CAPITAL MARKETS, LLC
April 17, 2007 - August 25, 2010
LABRANCHE FINANCIAL SERVICES, LLC
December 9, 2002 - March 29, 2007
JEFFERIES LLC
March 14, 2002 - October 15, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 10, 2001 - October 16, 2002
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: 2/16/2002
Limited Representative-Equity Trader ExamCurrent Firm
ALTERNATIVE EXECUTION GROUP
CRD#: 167830 / SEC#: , 8-69279
Contact information
FINRA licenses (3 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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