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MARCO ANTONIO ANAYA MARMOLEJO
MARCO ANAYA, Marco Antonio Anaya
CRD#: 5971130
IA
B
MARINER INDEPENDENTCRD#: 283824 Sacramento, CA
LPL FINANCIAL LLCCRD#: 6413 SACRAMENTO, CA
0
Disclosures
13
Years of Experience
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State Registrations
B
California 6/8/2020
IA
California 12/15/2022
SRO Registrations
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/09/2020 - 12/08/2022 | SACRAMENTO, CA | |
IA | 08/19/2014 - 05/21/2020 | SAN CARLOS, CA | |
B | 08/19/2014 - 05/21/2020 | SAN CARLOS, CA | |
IA | 05/21/2013 - 07/24/2014 | REDWOOD CITY, CA | |
B | 05/21/2013 - 07/24/2014 | REDWOOD CITY, CA | |
IA | 08/07/2012 - 06/05/2013 | LOS GATOS, CA | |
B | 01/18/2012 - 06/05/2013 | LOS GATOS, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.