MS
Mark Stufano
WILMINGTON CAPITAL SECURITIES
Mattituck, NY 11952
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CRD#: 1113880
MS
Professional summary
Mark Stufano is a registered financial professional currently at WILMINGTON CAPITAL SECURITIES, LLC located in Mattituck, New York.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1986. Mark has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Mark Stufano'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
January 28, 2022 - Present
WILMINGTON CAPITAL SECURITIES, LLC
Office #1: 12800 Main Road, Mattituck, NY 11952RIA
BD
CRD#: 133839
Mattituck, NY
Past
February 20, 2008 - January 31, 2022
PAR5 CAPITAL & CO LLC
BD
CRD#: 134657
WESTBURY, NY
Past
March 17, 2006 - February 13, 2008
BASIC INVESTORS INC.
BD
CRD#: 1187
WESTBURY, NY
Past
January 5, 2006 - March 20, 2006
SCOTT & STRINGFELLOW, LLC
BD
CRD#: 6255
WESTBURY, NY
Past
October 13, 1999 - January 13, 2006
BERGEN CAPITAL, INC.
BD
CRD#: 46348
HASBROUCK HEIGHTS, NJ
Past
June 29, 1993 - December 1, 1999
GILMORE SECURITIES & CO.
BD
CRD#: 27210
FORT LEE, NJ
Past
May 18, 1993 - June 3, 1993
GILMORE SECURITIES & CO.
BD
CRD#: 27210
Past
August 16, 1989 - June 3, 1993
INSTITUTIONAL EQUITY CORPORATION
BD
CRD#: 19628
DALLAS, TX
Past
October 27, 1986 - August 31, 1989
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
Past
March 19, 1986 - November 5, 1986
JOHN FRANKLIN & ASSOCIATES, INC.
BD
CRD#: 16036
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WC
WILMINGTON CAPITAL SECURITIES, LLC
ALLELE CAPITAL PARTNERS | WILMINGTON CAPITAL SECURITIES, LLC | LIBERTY CROSSING CAPITAL MARKETS, LLC | GHS CAPITAL MANAGEMENT, LLC | FOREFRONT WEALTH MANAGEMENT | DAVID E. ASTORR, INC. | DAVID E. ASTORR INC. | CLARK CAPITAL
CRD#: 133839 / SEC#: 801-101483, 8-67149
RIA
Registered Investment Advisory firm - SEC (7/27/2015 Approved)New Jersey
Registered Investment Advisory firm - SEC (7/28/2015 Terminated)New York
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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
Florida(1/28/2022)
RR
New York(1/28/2022)
RR
Pennsylvania(1/28/2022)
RR
Texas(11/16/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WC
WILMINGTON CAPITAL SECURITIES, LLC
ALLELE CAPITAL PARTNERS | WILMINGTON CAPITAL SECURITIES, LLC | LIBERTY CROSSING CAPITAL MARKETS, LLC | GHS CAPITAL MANAGEMENT, LLC | FOREFRONT WEALTH MANAGEMENT | DAVID E. ASTORR, INC. | DAVID E. ASTORR INC. | CLARK CAPITAL
CRD#: 133839 / SEC#: 801-101483, 8-67149
RIA
Registered Investment Advisory firm - SEC (7/27/2015 Approved)New Jersey
Registered Investment Advisory firm - SEC (7/28/2015 Terminated)New York
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information
Main Address
666 Old Country Road Suite 505, Garden City, NY 11530
Mailing Address
666 Old Country Road Suite 505, Garden City, NY 11530
Phone number
(516) 750-6200
Established
New York since 11/18/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
6
SEC notice filing (7 States and Territories)
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILMINGTON CAPITAL GROUP, INC. | PARENT COMPANY | |
| COLUMBO, JOSEPH DONALD | CHAIRMAN OF BROKER DEALER, GENERAL PRINCIPAL, GOVERNMENT SECURITIES PRINCIPAL, MSRB PRINCIPAL, ELECTED MANAGER | 823524 |
| DORUSHKIN, RONALD BRETT | CEO OF BROKER DEALER, GENERAL PRINCIPAL, ELECTED MANAGER | 2245185 |
| LEE, DENNIS PETER | CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER OF BROKER DEALER AND INVESTMENT ADVISOR, REGISTERED OPTIONS PRINCIPAL | 6008539 |
| MIKES, JOHN | PRESIDENT OF BROKER DEALER, GENERAL SECURITIES PRINCIPAL, ELECTED MANAGER,OSJ SUPERVISOR | 2458544 |
| VITTOR, GREG TODD | FINOP, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 1864219 |
Regulatory assets under management
| Total Number of Accounts | 279 |
| AUM (Assets Under Management) | $ 258,250,437 |
Disclosures
| Regulatory Event | 2 |
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.
