Mark C. Casolo
Professional summary
Mark Carmen Casolo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Mark had worked at 8 firms, which includes ARIVE CAPITAL MARKETS, WESTROCK ADVISORS INC., ONLINE CAPITAL SECURITIES INC., MCGINN SMITH & CO. INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, TUCKER ANTHONY INCORPORATED, INVESTACORP INC., BERKSHIRE EQUITY SALES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2007 - March 6, 2009
ARIVE CAPITAL MARKETS
June 16, 2005 - November 6, 2007
WESTROCK ADVISORS, INC.
February 8, 2001 - May 29, 2003
ONLINE CAPITAL SECURITIES, INC.
April 19, 1993 - July 12, 2005
MCGINN, SMITH & CO., INC.
October 13, 1989 - March 1, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 24, 1985 - August 22, 1989
TUCKER ANTHONY INCORPORATED
April 3, 1985 - January 1, 1986
INVESTACORP, INC.
August 15, 1983 - February 27, 1984
BERKSHIRE EQUITY SALES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ARIVE CAPITAL MARKETS
CRD#: 8060 / SEC#: , 8-43350
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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