Oren Buie

NATWEST MARKETS SECURITIES

Stamford, CT 06901

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CRD#: 6387674

Professional summary

Oren Buie, who also goes by Oren Jahad Buie, is a registered financial professional currently at NATWEST MARKETS SECURITIES INC. located in Stamford, Connecticut.

Oren is registered as a RR (Registered Representative) and started their career in finance in 2015. Oren has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 27, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Oren Jahad Buie

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 Oren Buie's 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

June 2, 2025 - Present

NATWEST MARKETS SECURITIES INC.

Office #1: 600 Washington Boulevard, Stamford, CT 06901

CRD#: 11707

Stamford, CT

Past

June 1, 2023 - June 5, 2025

BMO CAPITAL MARKETS CORP.

CRD#: 16686

New York, NY

Past

August 6, 2021 - April 5, 2023

ASPIRATION FINANCIAL LLC

CRD#: 291904

MARINA DEL REY, CA

Past

September 19, 2018 - August 18, 2021

EQUITABLE ADVISORS, LLC

CRD#: 6627

CHARLOTTE, NC

Past

February 27, 2018 - August 1, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

CHARLOTTE, NC

Past

November 23, 2015 - January 16, 2018

ALLY INVEST SECURITIES LLC

CRD#: 136131

CHARLOTTE, NC

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

Connecticut
(6/2/2025)

Exams

State Security Law Exam

Series 63

Date: 2/2/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 6/16/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/20/2017

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/22/2015

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 3/10/2023

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/3/2017

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 10/18/2016

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

NATWEST MARKETS SECURITIES INC.

CRD#: 11707 / SEC#: , 8-37135

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

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Contact information

Main Address

600 Washington Boulevard, Stamford, CT 06901

Mailing Address

600 Washington Boulevard, Stamford, CT 06901

Phone number

(203) 897-2700

Established

Delaware since 11/07/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
RBS HOLDINGS USA INC.	SHAREHOLDER
AUSBURN, MICHAEL THOMAS	DIRECTOR / CHIEF FINACIAL OFFICER	2523037
BROWER, LISA	SECRETARY, GENERAL COUNSEL	6177644
BUCCI, MICHELLE A	CHIEF OPERATING OFFICER	5192971
DESIMONE, LISA MARIE	CHIEF COMPLIANCE OFFICER	2691368
GIRARD, MICHELLE COLLEY	PRESIDENT / CHIEF EXECUTIVE OFFICER	2185240
ROOSE, SCOTT	DIRECTOR	2539705
SPEZZANO, CASEY RYAN	DIRECTOR	4678231

Disclosures

Regulatory Event	43
Civil Event	4

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.

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Advisor Monitoring

Firm Stability Insights

Oren Buie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Oren Buie's CRS (Customer Relationship Summary).

Certified licenses

Experience

BMO CAPITAL MARKETS CORP.

ASPIRATION FINANCIAL LLC

EQUITABLE ADVISORS, LLC

MML INVESTORS SERVICES, LLC

ALLY INVEST SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/2/2016

Series 99TO

Date: 6/16/2023

SIE

Date: 10/1/2018

Series 3

Date: 3/20/2017

Series 7

Date: 11/22/2015

Series 27

Date: 3/10/2023

Series 24

Date: 8/3/2017

Series 4

Date: 10/18/2016

FINRA

Current Firm

NATWEST MARKETS SECURITIES INC.

Contact information

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NATWEST MARKETS SECURITIES INC.

TRUST BUT VERIFY

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