Marco D. Miranda
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.
Marco Decastro Miranda, who also goes by Marco Miranda, was a registered financial professional .
Marco is a previously registered financial professional and started their career in finance in 2018. Marco had worked at 2 firms and has passed the Series 99TO, SIE, Series 6 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2018 - November 23, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
June 8, 2018 - March 12, 2024
MUTUAL OF AMERICA SECURITIES LLC
Primary Firm SEC Registration
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
CRD#: 15356 / SEC#: 801-21317, 8-32139
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
CRD#: 15356 / SEC#: 801-21317, 8-32139
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LU, KATHRYN ANNE | EXECUTIVE VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | 5605579 |
Regulatory assets under management
| Total Number of Accounts | 22 |
| AUM (Assets Under Management) | $ 335,621,798 |
Disclosures
| Regulatory Event | 2 |
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.
