Marlo Dieguez
CEO
With over a decade of expertise in private banking, securities, and financial compliance, Marlo Dieguez is a dynamic executive and compliance leader known for his strategic insight and regulatory expertise. Marlo currently serves as Chief Executive Officer of Seminario Securities, LLC, where he oversees operations, sales and trading initiatives, and firm-wide compliance with regulators.
Previously, Marlo was CCO and AML Compliance Officer at Credicorp Capital LLC, where he led compliance operations across broker-dealer and investment advisory services. His leadership extended to overseeing regulatory filings, onboarding institutional clients, and implementing global compliance frameworks, including SEC Rule 15a-6.
His career spans critical compliance and trading roles at firms such as Beta Capital Management, First Bank of Miami, and SG Private Banking. Throughout his journey, Marlo has successfully built and managed robust compliance programs, led regulatory and legal audits, and cultivated strong relationships with U.S. and international regulatory bodies.
Marlo holds a Bachelor’s degree in Finance from Florida International University. He is a Certified Anti-Money Laundering Specialist (CAMS), holds the FIBA AML/CA designation, and maintains multiple FINRA licenses including Series 7, 24, and 66.
Lorraine Navarro
COO
Lorraine Navarro is a results-driven COO with over 15 years of experience in trade settlements, risk management, and supervision within financial institutions. She is proficient in operational systems like Pershing and Bloomberg, and skilled in Microsoft Office. Bilingual in English and Spanish, she effectively led a six-member team during a successful merger.
Her expertise encompasses managing settlements, preventing DK charges, and conducting FINRA audits, while holding SIE, Series 99, 7, and 24 certifications. Known for her analytical skills and leadership experience, Lorraine aims to drive operational efficiency and create value in any organization she is a part of.
Ireanna Rubio
CCO/AMLCO
Ireanna Rubio is an experienced compliance professional with over 10 years in financial services and banking. As Chief Compliance Officer at Seminario Securities, she oversees regulatory compliance with a focus on FINRA, SEC, and AML requirements.
Prior to this role, Ireanna held compliance positions at Credicorp Capital LLC, where she led initiatives in employee licensing, account onboarding, and regulatory audits. She began her career in retail banking, building a strong foundation in customer service and BSA compliance. Ireanna holds a B.A. in Criminal Justice from Florida International University and is certified in FIBA AML/CA. She also maintains FINRA Series 7, 24, 99, and SIE licenses.
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