Richard E. 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.
Richard Edward Marino was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 3 firms and has passed the Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2013 - August 27, 2014
LEGEND SECURITIES, INC.
February 23, 2010 - December 31, 2012
PRINCIPAL SECURITIES, INC.
May 2, 2000 - December 31, 2009
PRINCIPAL SECURITIES, INC.
July 18, 1983 - March 23, 2000
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
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.
