Marc J. Riviello
Professional summary
Marc Joseph Riviello was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Marc is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Marc had worked at 15 firms, which includes SHORELINEAMBROSE ADVISORS LLC, TALLEY & COMPANY, BRIDGEMARK CAPITAL LP, PRIVATE EQUITY SECURITIES INC., AIS FINANCIAL INC., OC SECURITIES INC., ALLEGISONE SECURITIES INC., REGENT CAPITAL GROUP INC., ACCELERATED CAPITAL GROUP, EQUITY TRUST ADVISORS INC., TRADEWAY SECURITIES GROUP INC., AMERINATIONAL FINANCIAL SERVICES INC., QUEST CAPITAL STRATEGIES INC., MAIN STREET MANAGEMENT COMPANY, CHARLES SCHWAB & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2009 - April 29, 2009
SHORELINEAMBROSE ADVISORS, LLC
September 1, 2008 - March 6, 2009
SHORELINEAMBROSE ADVISORS, LLC
January 30, 2008 - April 21, 2008
TALLEY & COMPANY
October 8, 2007 - August 7, 2008
BRIDGEMARK CAPITAL, LP
June 5, 2007 - February 25, 2008
SHORELINEAMBROSE ADVISORS, LLC
May 22, 2006 - October 2, 2006
PRIVATE EQUITY SECURITIES, INC.
October 5, 2005 - June 4, 2009
AIS FINANCIAL, INC.
June 8, 2005 - October 4, 2005
OC SECURITIES, INC.
September 22, 2004 - September 29, 2004
ALLEGISONE SECURITIES, INC.
January 8, 2004 - August 9, 2005
REGENT CAPITAL GROUP, INC.
December 19, 2003 - January 9, 2004
ACCELERATED CAPITAL GROUP
August 14, 1998 - June 1, 2001
EQUITY TRUST ADVISORS, INC.
May 8, 1992 - February 2, 1998
TRADEWAY SECURITIES GROUP, INC.
June 3, 1991 - March 30, 1992
AMERINATIONAL FINANCIAL SERVICES, INC.
January 9, 1990 - April 24, 1991
QUEST CAPITAL STRATEGIES, INC.
December 4, 1989 - December 18, 1989
MAIN STREET MANAGEMENT COMPANY
May 25, 1984 - April 12, 1988
CHARLES SCHWAB & CO., INC.
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
Current Firm
SHORELINEAMBROSE ADVISORS, LLC
CRD#: 141046 / SEC#: , 8-67357
Contact information
FINRA licenses (2 States and Territories)
Documents
Red Flags
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