Marlon D. Orantes
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.
Marlon David Orantes, who also goes by Marlon David Orantes-alvarado, was a registered financial professional .
Marlon is a previously registered financial professional and started their career in finance in 2009. Marlon had worked at 2 firms and has passed the 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
March 15, 2011 - June 27, 2012
KBC SECURITIES USA LLC
February 26, 2009 - February 16, 2011
CREDIT AGRICOLE SECURITIES (USA) INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KBC SECURITIES USA LLC
CRD#: 46709 / SEC#: , 8-51529
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KBC BANK N.V. | SHAREHOLDER | |
| RAGUSA, ROSALBA | FINANCIAL AND OPERATIONS PRINCIPAL, CHIEF COMPLIANCE OFFICER & PRIMARY ANTI-MONEY LAUNDERING OFFICER | 2830587 |
Disclosures
| Regulatory Event | 7 |
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.
