Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Maria? Claim Your ProfileMaria Lopresti Minguez is an experienced financial professional with over 20 years in the industry. Maria has a diverse background in the financial services industry, having worked at several firms, including Canaccord Genuity LLC and FENNEL. Maria holds several industry licenses and certifications, including Series 7, 24, 55, 63, and 65 licenses, as well as a Series 99TO Operations Professional Examination. She has also held principal licenses, including Series 4, 8, 14, 27 and 53. Maria currently works at Third Seven Capital LLC, where she provides a wide range of financial services to clients.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
NJ
07/09/2023 - Present
Third Seven Capital LLC (Wall NJ)
NY
11/30/2023 - 05/31/2024
FENNEL (NEW YORK NY)
NA
03/16/2022 - 12/14/2022
DEALMAKER SECURITIES (Toronto )
NY
03/03/2016 - 11/15/2021
ZANBATO SECURITIES LLC (New York NY)
NY
06/07/2011 - 05/09/2012
DEXIA SECURITIES USA LLC (NEW YORK NY)
NY
04/20/2009 - 05/31/2011
SIEBERT, BRANDFORD, SHANK & CO., L.L.C. (NEW YORK NY)
NY
08/01/2005 - 04/15/2009
MORGAN JOSEPH & CO. INC. (NEW YORK NY)
NY
03/31/2004 - 07/12/2005
INDEPENDENT RESEARCH GROUP LLC (NEW YORK NY)
NA
07/26/2002 - 05/03/2004
SANDS BROTHERS INTERNATIONAL LTD. (LONDON )
NY
03/10/2000 - 04/07/2004
SANDS BROTHERS & CO., LTD. (NEW YORK NY)
NY
07/28/1998 - 02/08/2000
NEW TIMES SECURITIES SERVICES, INC. (MELVILLE NY)
NY
06/28/1995 - 06/22/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
07/13/1994 - 05/11/1995
SMITH BARNEY INC. (NEW YORK NY)
BC
Issued 04/11/2016
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 10/23/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 07/27/2021
Series 27 - Financial and Operations Principal Examination
BC
Issued 02/01/2000
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/12/1999
Series 4 - Registered Options Principal Examination
BC
Issued 08/09/1996
Series 24 - General Securities Principal Examination
BC
Issued 02/22/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 12/28/2021
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/15/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 07/25/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/12/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
Not sure Maria Minguez is the right advisor for you? Invested Better is here to help.
