Marcelino A. Lazo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Marcelino Alvarez Lazo, who also goes by Marcelino Lazo, Marc Lazo, was a registered financial professional .
Marcelino is a previously registered financial professional and started their career in finance in 2018. Marcelino had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2024 - November 26, 2024
EMPIRIKAL PARTNERS LLC
February 2, 2022 - September 11, 2024
WELLS FARGO CLEARING SERVICES, LLC
February 1, 2022 - September 11, 2024
WELLS FARGO CLEARING SERVICES, LLC
October 5, 2020 - February 8, 2022
VALIC FINANCIAL ADVISORS, INC.
October 5, 2020 - February 8, 2022
VALIC FINANCIAL ADVISORS, INC.
September 26, 2019 - July 2, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 17, 2019 - July 2, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 4, 2018 - May 23, 2019
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 8/12/2019
General Securities Representative ExaminationCurrent Firm
EMPIRIKAL PARTNERS LLC
CRD#: 282691 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 170 |
| AUM (Assets Under Management) | $ 88,000,000 |
Red Flags
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