Marianne T. Cordora
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.
Marianne Theresa Cordora, who also goes by Marianne T Cordora, was a registered financial professional .
Marianne is a previously registered financial professional and started their career in finance in 1995. Marianne had worked at 7 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2016 - July 27, 2018
REGIONS SECURITIES LLC
February 28, 2011 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
July 9, 2003 - September 8, 2009
WELLS FARGO SECURITIES, LLC
October 15, 2001 - July 3, 2003
WELLS FARGO CLEARING SERVICES, LLC
June 4, 1999 - October 15, 2001
WACHOVIA SECURITIES, INC.
February 2, 1998 - June 4, 1999
FIRST UNION CAPITAL MARKETS CORP.
August 18, 1995 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
REGIONS SECURITIES LLC
CRD#: 159475 / SEC#: , 8-68990
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RFC FINANCIAL SERVICES HOLDING LLC | PARENT | |
| AMIN, RITVIG NIPENDRA | CHAIRMAN OF THE BOARD & DIRECTOR | 2901218 |
| GIARDINO, NEIL | CEO, PRESIDENT AND DIRECTOR | 2428962 |
| HOLLOWAY, GLENN CHRISTOPHER | FINOP, CFO, PFO, POO & DIRECTOR | 4566759 |
| MAGGIORE, JILL WRIGHT | CHIEF COMPLIANCE OFFICER & DIRECTOR | 1001068 |
| MAXWELL, JASON MATTHEW | CHIEF LEGAL OFFICER & DIRECTOR | 5997125 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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