Mario A. Volpi
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.
Mario Anthony Volpi, who also goes by Mario A Volpi, was a registered financial professional .
Mario is a previously registered financial professional and started their career in finance in 1989. Mario had worked at 7 firms and has passed the Series 63, Series 65, 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
November 6, 2001 - September 26, 2002
STONE HARBOR FINANCIAL SERVICES, LLC
December 10, 1997 - February 2, 2001
TASIN & COMPANY, INC.
October 2, 1996 - October 31, 1997
LT LAWRENCE & CO., INC.
September 20, 1994 - February 13, 1997
TASIN & COMPANY, INC.
March 14, 1994 - April 13, 1994
AMERICORP SECURITIES, INC.
April 23, 1993 - March 14, 1994
CHEMICAL INVESTOR SERVICES, INC.
November 19, 1989 - April 19, 1993
OSAIC WEALTH, INC.
January 24, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
STONE HARBOR FINANCIAL SERVICES, LLC
CRD#: 102320 / SEC#: , 8-52118
Contact information
Documents
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.
