Nicholas R. Marino
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 Robert Marino was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1983. Nicholas had worked at 16 firms and has passed the Series 63, Series 55, Series 7 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
May 29, 2008 - July 18, 2008
ORION TRADING, LLC
March 29, 2007 - December 13, 2007
LEGEND SECURITIES, INC.
January 13, 2004 - June 19, 2007
NEW YORK GLOBAL SECURITIES, INC.
June 2, 2003 - June 9, 2003
A.B. WATLEY, INC.
March 11, 1997 - July 5, 2001
PHD CAPITAL
September 19, 1996 - February 6, 1997
MAGDENSBURG SECURITIES CORP.
January 20, 1995 - July 2, 1996
A. R. BARON & CO., INC.
November 4, 1994 - November 28, 1994
ROBERT TODD FINANCIAL CORP.
August 9, 1994 - November 1, 1994
WESTFIELD FINANCIAL CORPORATION
January 1, 1993 - July 30, 1994
F.N. WOLF & CO., INC.
April 1, 1992 - September 1, 1992
MELBOURNE GSI CORP.
March 13, 1991 - April 1, 1992
LCP CAPITAL CORP.
September 30, 1989 - February 14, 1991
R.H.DAMON & CO., INC.
April 24, 1986 - September 20, 1989
NASH, WEISS & CO.
September 19, 1985 - April 15, 1986
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
August 23, 1983 - February 8, 1984
J.P. MORGAN SECURITIES LLC
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: 3/15/2000
Limited Representative-Equity Trader ExamCurrent Firm
ORION TRADING, LLC
CRD#: 43932 / SEC#: , 8-50484
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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