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SH

Scarlett L. Hooker Urroz

MDB CAPITAL
Managua,
Some features on this profile are disabled
CRD#: 5985638
SH

Professional summary

Scarlett Lorraine Hooker Urroz, who also goes by Scarlett Lorraine Hooker, is a registered financial professional currently at MDB CAPITAL .

Scarlett is registered as a RR (Registered Representative) and started their career in finance in 2011. Scarlett has worked at 1 firm and has passed the SIE, Series 87, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Scarlett Lorraine Hooker

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 Scarlett Lorraine Hooker Urroz'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

October 28, 2011 - Present

MDB CAPITAL

Office #1: De La Embajada De Mexico 1 Cuardra Arriba Casa Esquinera #100, Managua
BD
CRD#: 42677
Managua,

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 4/30/2012
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 10/27/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/18/2015
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

MC
MDB CAPITAL
MARSHALL MERCHANT GROUP, LLC | PUBLIC VENTURES, LLC | MDB CAPITAL GROUP LLC | MDB CAPITAL

CRD#: 42677 / SEC#: , 8-49951

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
14135 Midway Road, Suite G-150, Addison, TX 75001
Mailing Address
14135 Midway Road, Suite G-150, Addison, TX 75001
Phone number
(945) 262-9010
Established
California since 12/26/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MDB CAPITAL HOLDINGS, LLCPARENT COMPANY
MARLETT, CHRISTOPHER ANTHONYPRESIDENT, CEO, GSP1526644
SCHUMAN, GARY ALANCFO, CHIEF COMPLIANCE OFFICER, FINOP2237720
ZAPANTA, ALEX RAY S JR.PRINCIPAL OPERATIONS OFFICER5414779

Disclosures

Regulatory Event3

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.

Company Information

MDB CAPITAL

CRD#: 42677Managua

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