NO
Natalia Ochoa
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS
New York, NY 10022
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CRD#: 6787012
NO
Professional summary
Natalia Ochoa, who also goes by Natalia Ochoa, Natalia Ochoa Sierra, Natalia Ochoa-sierra, is a registered financial professional currently at STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC located in New York, New York.
Natalia is registered as a RR (Registered Representative) and started their career in finance in 2020. Natalia has worked at 6 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Natalia Ochoa | Natalia Ochoa Sierra | Natalia Ochoa-Sierra
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.
CRS (Client Relationship Summary) - BD
Click below to view Natalia Ochoa'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®
NoneExperience
Current
October 20, 2025 - Present
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
Office #1: 601 Lexington Ave 29th Floor, New York, NY 10022BD
CRD#: 30107
New York, NY
Past
March 19, 2024 - October 2, 2025
ALLIANCEBERNSTEIN L.P.
RIA
CRD#: 108477
Miami, FL
Past
February 6, 2024 - October 2, 2025
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
MIAMI, FL
Past
November 21, 2022 - June 30, 2010
CITI PRIVATE ALTERNATIVES, LLC
RIA
CRD#: 153777
Houston, TX
Past
November 21, 2022 - December 21, 2023
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
Houston, TX
Past
March 3, 2022 - December 21, 2023
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Houston, TX
Past
March 3, 2022 - December 21, 2023
CITI PRIVATE ALTERNATIVES, LLC
BD
CRD#: 153777
Houston, TX
Past
October 27, 2020 - December 17, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(10/20/2025)
RR
Alaska(10/20/2025)
RR
Arizona(10/20/2025)
RR
Arkansas(10/20/2025)
RR
California(10/20/2025)
RR
Colorado(10/20/2025)
RR
Connecticut(10/20/2025)
RR
Delaware(10/20/2025)
RR
District of Columbia(10/20/2025)
RR
Florida(10/20/2025)
RR
Georgia(10/20/2025)
RR
Hawaii(10/20/2025)
RR
Idaho(10/20/2025)
RR
Illinois(10/20/2025)
RR
Indiana(10/20/2025)
RR
Iowa(10/20/2025)
RR
Kansas(10/20/2025)
RR
Kentucky(10/20/2025)
RR
Louisiana(10/20/2025)
RR
Maine(10/20/2025)
RR
Maryland(10/20/2025)
RR
Massachusetts(10/20/2025)
RR
Michigan(10/20/2025)
RR
Minnesota(10/20/2025)
RR
Mississippi(10/20/2025)
RR
Missouri(10/20/2025)
RR
Montana(10/20/2025)
RR
Nebraska(10/20/2025)
RR
Nevada(10/20/2025)
RR
New Hampshire(10/20/2025)
RR
New Jersey(10/20/2025)
RR
New Mexico(10/20/2025)
RR
New York(10/20/2025)
RR
North Carolina(10/20/2025)
RR
North Dakota(10/20/2025)
RR
Ohio(10/21/2025)
RR
Oklahoma(10/20/2025)
RR
Oregon(10/20/2025)
RR
Pennsylvania(10/20/2025)
RR
Puerto Rico(10/20/2025)
RR
Rhode Island(10/20/2025)
RR
South Carolina(10/20/2025)
RR
South Dakota(10/20/2025)
RR
Tennessee(10/20/2025)
RR
Texas(10/20/2025)
RR
Utah(10/20/2025)
RR
Vermont(10/20/2025)
RR
Virginia(10/20/2025)
RR
Washington(10/20/2025)
RR
West Virginia(10/20/2025)
RR
Wisconsin(10/20/2025)
RR
Wyoming(10/20/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/27/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
STATE STREET BROKERAGE SERVICES, INC. | STATE STREET GLOBAL MARKETS, LLC | STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC | STATE STREET CAPITAL MARKETS, LLC
CRD#: 30107 / SEC#: , 8-44744
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Congress Street, Boston, MA 02114
Mailing Address
One Congress Street, Boston, MA 02114
Phone number
(617) 664-3619
Established
Delaware since 03/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET GLOBAL ADVISORS, INC. | PARENT CORPORATION | |
| ALBERICI, MARK F | DIRECTOR | 3223458 |
| AMOA, APEAWUSU K | DIRECTOR | 7711546 |
| BONDS MAZZA, ALLISON HATHHORN | PRESIDENT AND DIRECTOR | 4439495 |
| CORBETT, TIMOTHY PAUL | DIRECTOR | |
| FERRARELLI, JAMES | DIRECTOR | 6961735 |
| LAPORTA, JEANNE MARIE | DIRECTOR & CHAIRWOMAN | 5946908 |
| TENORIO, EDITHA V | CHIEF FINANCIAL OFFICER | 6755490 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
| TUCKER, JOHN A | DIRECTOR | 7000761 |
Disclosures
| Regulatory Event | 17 |
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.
