Marc A. Maiorella
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.
Marc Anthony Maiorella, CFP® was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1982. Marc had worked at 9 firms and has passed the Series 63, Series 7TO, SIE 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
February 8, 2001 - July 1, 2021
NATIONWIDE INVESTMENT SERVICES CORPORATION
June 24, 1998 - February 2, 2001
NATIONWIDE SECURITIES, LLC
October 28, 1996 - February 18, 1998
MORGAN STANLEY DW INC.
May 27, 1994 - August 8, 1996
PRUCO SECURITIES, LLC.
April 26, 1990 - February 21, 1994
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
April 10, 1989 - March 30, 1990
HCS BROKERAGE SERVICES, INC.
April 6, 1987 - August 18, 1988
ADVANTAGE CAPITAL CORPORATION
June 28, 1982 - April 2, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 16, 1982 - May 7, 1982
UBS FINANCIAL SERVICES 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
Series 7TO
Date: 3/18/2024
General Securities Representative ExaminationCurrent Firm
NATIONWIDE INVESTMENT SERVICES CORPORATION
CRD#: 7110 / SEC#: , 8-20254
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONWIDE LIFE INSURANCE COMPANY | SHAREHOLDER | |
| AMBROZY, TINA S | PRESIDENT/BOARD DIRECTOR | 3149224 |
| HAWLEY, CRAIG ALAN | BOARD DIRECTOR | 4499105 |
| RABENSTINE, JAMES JAY | CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD DIRECTOR | 5250338 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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