Blanca A. Duarte
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.
Blanca Adriana Duarte, who also goes by Blanca Adriana Duarte-merriam, was a registered financial professional .
Blanca is a previously registered financial professional and started their career in finance in 2010. Blanca had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2014 - October 15, 2014
ASSETMARK BROKERAGE, LLC
May 2, 2014 - August 15, 2014
CAPITAL BROKERAGE CORPORATION
February 12, 2013 - September 9, 2013
U.S. BANCORP INVESTMENTS, INC.
August 24, 2010 - October 3, 2011
CITIGROUP GLOBAL MARKETS INC.
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
ASSETMARK BROKERAGE, LLC
CRD#: 169804 / SEC#: , 8-69391
Contact information
FINRA licenses (53 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.
