Marina R. Buatti
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.
Marina Rosman Buatti, who also goes by Marina Rosman Buatti, Marina Buatti, Marina Rosman Ms., Marina Rosman, was a registered financial professional .
Marina is a previously registered financial professional and started their career in finance in 2005. Marina had worked at 2 firms and has passed the SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2017 - November 19, 2020
NUVEEN SECURITIES, LLC
August 5, 2011 - August 14, 2017
FIDELITY BROKERAGE SERVICES LLC
April 7, 2009 - August 13, 2009
FIDELITY BROKERAGE SERVICES LLC
September 26, 2005 - December 17, 2008
FIDELITY BROKERAGE SERVICES 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
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
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.
