Marcelo G. Cotrim
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.
Marcelo Guimaraes Bastos Cotrim was a registered financial professional .
Marcelo is a previously registered financial professional and started their career in finance in 2007. Marcelo had worked at 2 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2018 - February 25, 2021
ANDBANC BROKERAGE, LLC
January 23, 2007 - April 30, 2009
UBS INTERNATIONAL INC.
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
Current Firm
ANDBANC BROKERAGE, LLC
CRD#: 155979 / SEC#: , 8-68759
Contact information
FINRA licenses (20 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
