Nicholas Mariniello
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.
Nicholas Mariniello, who also goes by Nick Mariniello, was a registered financial advisor .
Nicholas is a previously registered financial advisor and started their career in finance in 1982. Nicholas had worked at 15 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2011 - January 13, 2014
LPL FINANCIAL LLC
August 3, 2011 - August 3, 2011
LPL FINANCIAL LLC
August 3, 2011 - January 13, 2014
LPL FINANCIAL LLC
December 1, 2009 - August 2, 2012
CONCORD EQUITY GROUP ADVISORS, LLC
October 20, 2008 - June 9, 2011
TORE SERVICES, LLC
November 20, 1996 - October 23, 2006
THE CONCORD EQUITY GROUP, LLC
April 25, 1991 - September 17, 1996
FIRST MONTAUK SECURITIES CORP.
February 15, 1991 - April 24, 1991
MONY SECURITIES CORPORATION
February 7, 1990 - February 22, 1991
REICH & CO., INC.
January 2, 1990 - February 13, 1990
HANIFEN, IMHOFF SECURITIES CORP.
July 7, 1989 - January 2, 1990
MOORE & SCHLEY, CAMERON & CO.
December 17, 1986 - January 27, 1990
J. T. MORAN & CO., INC.
October 16, 1985 - February 23, 1987
KUREEN & COOPER, INC.
July 30, 1985 - November 1, 1985
SHELTER ROCK SECURITIES CORP.
July 12, 1985 - August 1, 1985
UNIVERSAL SECURITIES OF AMERICA, INC.
October 19, 1983 - July 15, 1985
CREATIVE SECURITIES CORP.
August 24, 1982 - September 19, 1983
FIRST JERSEY SECURITIES, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 55
Date: 2/16/2000
Limited Representative-Equity Trader ExamCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
