MP
Marlon Pineda
MUTUAL OF AMERICA SECURITIES LLC
Providence, RI 02903-2630
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CRD#: 6904462
MP
Professional summary
Marlon Pineda is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Providence, Rhode Island.
Marlon is registered as a RR (Registered Representative) and started their career in finance in 2018. Marlon has worked at 3 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
1. Independent insurance agent conducting sales of insurance products (life, fixed annuities, LTC and DI)of various insurance companies. Investment-related. Approx. 2-3 hours/week, all during trading hours. Start date: May 2019; address is BD firm main office. 2. Owner, residential real estate in Providence, RI (rental unit at home address); duties include management of property; 0-2 hours/week, not during trading hours. Investment-related. Start date: February 2021.
CRS (Client Relationship Summary) - BD
Click below to view Marlon Pineda'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
March 29, 2023 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 500 Exchange Street Suite 9-200, Providence, RI 02903-2630BD
CRD#: 27878
Providence, RI
Past
December 19, 2018 - March 20, 2023
DIVERSIFIED RESOURCES, LLC
RIA
CRD#: 31346
WARWICK, RI
Past
December 17, 2018 - March 20, 2023
DIVERSIFIED RESOURCES, LLC
BD
CRD#: 31346
WARWICK, RI
Past
May 10, 2018 - November 12, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LINCOLN, RI
Past
March 9, 2018 - November 12, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LINCOLN, RI
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
Connecticut(10/23/2023)
RR
Maine(1/23/2024)
RR
Massachusetts(1/23/2024)
RR
New Hampshire(2/14/2024)
RR
Rhode Island(11/6/2023)
RR
Vermont(1/22/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 4/18/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MO
MUTUAL OF AMERICA SECURITIES LLC
MUTUAL OF AMERICA SECURITIES CORPORATION | MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
320 Park Avenue, New York, NY 10022
Mailing Address
320 Park Avenue, New York, NY 10022-3869
Phone number
(212) 224-1600
Established
Delaware since 06/29/1990
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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Company Information
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878Providence, RI 02903-2630TRUST BUT VERIFY
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