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AM

Albert Maruri

THORNBURG SECURITIES
Santa Fe, NM 87506
Some features on this profile are disabled
CRD#: 4951179
AM

Professional summary

Albert Maruri, who also goes by Albert Arthur Maruri, is a registered financial professional currently at THORNBURG SECURITIES LLC located in Santa Fe, New Mexico.

Albert is registered as a RR (Registered Representative) and started their career in finance in 2005. Albert has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Albert Arthur Maruri

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 Albert Maruri'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

April 17, 2026 - Present

THORNBURG SECURITIES LLC

Office #1: 2300 North Ridgetop Road, Santa Fe, NM 87506
BD
CRD#: 14857
Santa Fe, NM
Past

February 9, 2016 - March 24, 2026

JANUS HENDERSON DISTRIBUTORS US LLC

BD
CRD#: 28832
DENVER, CO
Past

January 5, 2010 - February 4, 2016

DELAWARE DISTRIBUTORS, L.P.

BD
CRD#: 14232
PHILADELPHIA, PA
Past

May 25, 2007 - December 31, 2009

LINCOLN FINANCIAL DISTRIBUTORS, INC.

RIA
CRD#: 145
MIAMI, FL
Past

February 2, 2007 - December 31, 2009

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

May 2, 2005 - January 18, 2007

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT

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
Florida
(4/17/2026)
RR
New Mexico
(4/17/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 7/7/2007
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/12/2007
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/3/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/30/2005
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TS
THORNBURG SECURITIES LLC
THORNBURG SECURITIES CORPORATION | THORNBURG SECURITIES LLC

CRD#: 14857 / SEC#: , 8-31249

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

Main Address
2300 North Ridgetop Road, Santa Fe, NM 87506
Mailing Address
2300 North Ridgetop Road, Santa Fe, NM 87506
Phone number
(505) 984-0200
Established
Delaware since 12/28/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
THORNBURG INVESTMENT MANAGEMENT INCSOLE MEMBER106357
BHATT, NIMISH SANJAYTREASURER, PRINCIPAL FINANCIAL OFFICER2789977
BROWNELL, JESSE RYANGLOBAL HEAD OF DISTRIBUTION5511918
CALLOW, AMYSECRETARY
HOLLOWAY, CURTIS EDWARDPRINCIPAL OPERATIONS OFFICER5130594
OLEXSAK, RONALDCHIEF COMPLIANCE OFFICER2858575

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

THORNBURG SECURITIES LLC

CRD#: 14857Santa Fe, NM 87506

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