Nathalia Siqueira
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.
Nathalia Siqueira, who also goes by Nathalia F Siqueira, Nathalia Fontenelle Siqueira, was a registered financial professional .
Nathalia is a previously registered financial professional and started their career in finance in 2006. Nathalia had worked at 5 firms and has passed the Series 66, Series 63, SIE 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
June 8, 2016 - December 6, 2016
ANDBANC BROKERAGE, LLC
December 4, 2013 - July 30, 2014
LEVELX CAPITAL LLC
November 5, 2008 - June 11, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 31, 2008 - June 11, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 22, 2008 - October 16, 2008
BARCLAYS CAPITAL INC.
March 24, 2008 - October 9, 2008
LEHMAN BROTHERS INC.
March 14, 2006 - September 22, 2008
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ANDBANC BROKERAGE, LLC
CRD#: 155979 / SEC#: , 8-68759
Contact information
FINRA licenses (20 States and Territories)
Disclosures
| Regulatory Event | 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.
