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MC

Maria Jose Corea Lopez

MDB CAPITAL
MANAGUA,
·CRD# 6890357·8 years experience

Professional Summary

Maria Jose Corea Lopez, who also goes by Maria Jose Corea, is a registered financial advisor currently at MDB CAPITAL. Maria is registered as a RR (Registered Representative) and started their career in finance in 2018. Maria has worked at 1 firm and has passed the SIE, Series 99 and Series 27 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Maria Jose Corea

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

8 years in the financial services industry

Current & Past Employments

MDB CAPITAL·CRD# 42677
BD
De La Embajada De Mexico 1 Cuardra Arriba Casa Esquinera #100, Managua
June 13, 2018 - Present

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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)

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

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

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 Event

3

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 99 — Operations Professional Examination

Passed Jun 2018About the Series 99 exam

Series 27 — Financial and Operations Principal Examination

Passed Jul 2019About the Series 27 exam
FINRA
SRO Registrations
NYSE American LLC
SRO Registrations
Nasdaq Stock Market
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Maria Jose Corea Lopez's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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MC
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