Pedro V. Marques
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.
Pedro Vasconcelos Marques, who also goes by Pedro Marques, Pedro Vasconcelos Pereira E Silva Marques, was a registered financial professional .
Pedro is a previously registered financial professional and started their career in finance in 2008. Pedro had worked at 4 firms and has passed the Series 63, 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
January 10, 2022 - November 16, 2023
BAADER HELVEA INC.
April 5, 2019 - May 28, 2019
GLOBAL ALLIANCE SECURITIES LLC
September 28, 2016 - March 2, 2018
HAITONG SECURITIES USA LLC
October 15, 2008 - September 5, 2014
BRICKELL 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
BAADER HELVEA INC.
CRD#: 132007 / SEC#: , 8-66540
Contact information
FINRA licenses (39 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAADER HELVEA AG | DIRECT OWNER | |
| AMMER, JOCHEN GUENTHER VOLKER | DIRECTOR | 2151302 |
| AMMER, JOCHEN GUENTHER VOLKER | PRESIDENT/CCO | 2151302 |
| BENDER, STEVEN CHRISTOPHER | PFO, POO | 2650187 |
| BENDER, STEVEN CHRISTOPHER | FINOP | 2650187 |
| DEANE, MORGAN ESQ | SECRETARY | 6116799 |
| DEANE, MORGAN ESQ | DIRECTOR | 6116799 |
| HAUSER, TIMON GERHARD | DIRECTOR | 7901577 |
| NIEDERMAYER, SEBASTIAN JOSEF | DIRECTOR | 5225454 |
| RIEDEL, OLIVER | DIRECTOR | 4680070 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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