NM
Nicholas M. Mascio
MAREX CAPITAL MARKETS
Miami, FL 33131
Some features on this profile are disabled
CRD#: 1073462
NM
Professional summary
Nicholas Matthew Mascio, who also goes by Nicholas M Mascio, Nicholas Mathew Mascio, is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in Miami, Florida.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 1987. Nicholas has worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 15, Series 5, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicholas M Mascio | Nicholas Mathew Mascio
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Matthew Mascio's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 20, 2013 - Present
MAREX CAPITAL MARKETS INC.
Office #1: 201 South Biscayne Boulevard, Miami, FL 33131BD
CRD#: 161014
Miami, FL
Past
January 12, 2006 - December 12, 2011
MF GLOBAL INC.
BD
CRD#: 6731
NEW YORK, NY
Past
May 13, 1998 - December 31, 2005
REFCO SECURITIES, LLC
BD
CRD#: 14094
NEW YORK, NY
Past
December 16, 1997 - April 28, 1998
INTERCAPITAL GOVERNMENT SECURITIES INC.
BD
CRD#: 19710
NEW YORK, NY
Past
December 16, 1997 - April 28, 1998
EXCO RMJ INTERNATIONAL INC.
BD
CRD#: 21287
Past
January 1, 1990 - October 6, 1997
BGC FINANCIAL, L.P.
BD
CRD#: 19801
NEW YORK, NY
Past
July 25, 1987 - December 20, 1988
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/18/2013)
RR
Alaska(1/22/2018)
RR
Arizona(3/7/2013)
RR
Arkansas(3/12/2013)
RR
California(2/20/2013)
RR
Colorado(2/21/2013)
RR
Connecticut(3/12/2013)
RR
Delaware(2/28/2013)
RR
District of Columbia(1/23/2018)
RR
Florida(1/21/2016)
RR
Georgia(3/5/2013)
RR
Hawaii(6/13/2018)
RR
Idaho(2/12/2018)
RR
Illinois(1/21/2016)
RR
Indiana(1/23/2018)
RR
Iowa(1/23/2018)
RR
Kansas(2/27/2013)
RR
Kentucky(2/26/2018)
RR
Louisiana(1/25/2018)
RR
Maine(1/24/2018)
RR
Maryland(2/25/2013)
RR
Massachusetts(2/21/2013)
RR
Michigan(3/4/2013)
RR
Minnesota(3/14/2013)
RR
Mississippi(1/23/2018)
RR
Missouri(2/22/2013)
RR
Montana(2/26/2018)
RR
Nebraska(1/22/2018)
RR
Nevada(3/26/2013)
RR
New Hampshire(3/9/2018)
RR
New Jersey(2/22/2013)
RR
New Mexico(1/22/2018)
RR
New York(3/11/2013)
RR
North Carolina(2/6/2018)
RR
North Dakota(1/23/2018)
RR
Ohio(2/20/2013)
RR
Oklahoma(3/11/2013)
RR
Oregon(2/20/2013)
RR
Pennsylvania(2/22/2013)
RR
Puerto Rico(1/29/2018)
RR
Rhode Island(1/26/2018)
RR
South Carolina(1/24/2018)
RR
South Dakota(1/24/2018)
RR
Tennessee(1/23/2018)
RR
Texas(3/13/2013)
RR
Utah(2/20/2013)
RR
Vermont(3/13/2013)
RR
Virginia(1/21/2016)
RR
Washington(3/12/2013)
RR
West Virginia(2/6/2018)
RR
Wisconsin(3/12/2013)
RR
Wyoming(1/22/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 10/16/1989
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 10/16/1989
Interest Rate Options ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
MC
MAREX CAPITAL MARKETS INC.
E D & F MAN CAPITAL MARKETS INC. | MPS | MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
140 East 45th Street 10th Floor, New York, NY 10017
Mailing Address
140 East 45th Street 10th Floor, New York, NY 10017
Phone number
(212) 618-2800
Established
New York since 01/10/1952
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
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.
Company Information
MAREX CAPITAL MARKETS INC.
CRD#: 161014Miami, FL 33131TRUST BUT VERIFY
Monitor Nicholas Mascio
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
