Marlo E. Dieguez

SEMINARIO SECURITIES

CORAL GABLES, FL 33134

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CRD#: 5644954

Professional summary

Marlo E Dieguez, who also goes by Marlo Dieguez, is a registered financial professional currently at SEMINARIO SECURITIES located in Coral Gables, Florida.

Marlo is registered as a RR (Registered Representative) and started their career in finance in 2009. Marlo has worked at 6 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Marlo Dieguez

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 Marlo E Dieguez's CRS (Customer Relationship Summary).

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 3, 2024 - Present

SEMINARIO SECURITIES

Office #1: 95 Merrick Way, Suite 516, Coral Gables, FL 33134Office #2: Calle Amador Merino Reyna 267 Of. 801, San Isidro, Lima

CRD#: 315218

CORAL GABLES, FL

Past

February 1, 2021 - June 6, 2023

CREDICORP CAPITAL LLC

CRD#: 136791

MIAMI, FL

Past

April 20, 2015 - February 1, 2021

CREDICORP CAPITAL SECURITIES, INC.

CRD#: 122199

CORAL GABLES, FL

Past

June 7, 2013 - April 27, 2015

CREAND MANAGEMENT

RIA

CRD#: 154894

MIAMI, FL

Past

May 10, 2013 - April 27, 2015

CREAND SECURITIES

CRD#: 38964

MIAMI, FL

Past

September 3, 2009 - May 10, 2013

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

MIAMI, FL

Past

March 26, 2009 - May 10, 2013

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

MIAMI, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(10/30/2024)

Connecticut
(11/1/2024)

Delaware
(12/9/2024)

Florida
(9/24/2024)

Georgia
(11/20/2024)

Maryland
(12/23/2024)

Massachusetts
(11/4/2024)

Minnesota
(12/6/2024)

Nebraska
(11/20/2024)

New Hampshire
(11/8/2024)

New Jersey
(11/6/2024)

New York
(10/29/2024)

North Carolina
(10/30/2024)

Oregon
(10/29/2024)

South Dakota
(12/18/2024)

Texas
(1/19/2025)

Utah
(10/29/2024)

Virginia
(11/12/2024)

Washington
(9/25/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 6/22/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/25/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 11/19/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SEMINARIO SECURITIES

SEMINARIO SECURITIES | SEMINARIO SECURITIES LLC

CRD#: 315218 / SEC#: , 8-70773

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

95 Merrick Way Suite 516, Coral Gables, FL 33134

Mailing Address

95 Merrick Way Suite 516, Coral Gables, FL 33134

Phone number

(786) 292-0512

Established

Florida since 04/20/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (19 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SEMINARIO SECURITIES HOLDINGS, INC.	MEMBER
DIEGUEZ, MARLO E	CEO	5644954
RUBIO, IREANNA MELISSA	CHIEF COMPLIANCE OFFICER/AMLCO	6507398

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Marlo E. Dieguez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marlo E Dieguez's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREDICORP CAPITAL LLC

CREDICORP CAPITAL SECURITIES, INC.

CREAND MANAGEMENT

CREAND SECURITIES

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/22/2009

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/25/2009

Series 14

Date: 1/2/2023

Series 24

Date: 11/19/2014

FINRA

Current Firm

SEMINARIO SECURITIES

Contact information

FINRA licenses (19 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

SEMINARIO SECURITIES

TRUST BUT VERIFY

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