Louis P. Marin
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.
Louis Pastrana Marin, who also goes by Louis P Marin, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1977. Louis had worked at 16 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 23, 1988 - June 8, 1989
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
June 7, 1988 - June 23, 1988
SCHNEIDER SECURITIES, INC.
February 26, 1988 - June 9, 1988
TAMARON INVESTMENTS, INC.
January 5, 1988 - February 27, 1988
LOWELL H. LISTROM & COMPANY INC.
July 21, 1987 - September 10, 1987
INTERNATIONAL SECURITIES GROUP, LTD.
April 21, 1987 - May 28, 1987
FIRST UNITED SECURITIES GROUP OF CALIFORNIA
January 5, 1987 - March 5, 1987
PAULSON INVESTMENT COMPANY LLC
August 3, 1985 - December 18, 1986
BROOK INVESTMENTS, INC.
March 6, 1985 - April 11, 1985
A. G. EDWARDS & SONS, INC.
October 25, 1984 - January 24, 1985
UBS FINANCIAL SERVICES INC.
June 11, 1984 - November 2, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 23, 1983 - July 26, 1984
BECKER PARIBAS INCORPORATED
July 29, 1982 - August 30, 1983
MOSELEY SECURITIES CORPORATION
February 11, 1982 - June 21, 1982
CIBC WORLD MARKETS CORP.
August 28, 1979 - March 4, 1982
LEHMAN BROTHERS KUHN LOEB INCORPORATED
June 1, 1977 - September 20, 1979
CITIGROUP GLOBAL MARKETS 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
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
CRD#: 13741 / SEC#: , 8-45398
Contact information
Documents
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.
