Rosario Di Maria
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.
Rosario Di Maria, who also goes by Rosario Dimaria, Roy Dimaria, was a registered financial professional .
Rosario is a previously registered financial professional and started their career in finance in 1984. Rosario had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2013 - April 9, 2024
AXOS CLEARING LLC
January 20, 2010 - January 6, 2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 7, 2007 - September 21, 2009
INTL CUSTODY & CLEARING SOLUTIONS INC.
July 27, 2004 - March 6, 2007
CITIGROUP GLOBAL MARKETS INC.
October 6, 2003 - June 29, 2004
PERSHING LLC
July 14, 2003 - October 9, 2003
BNY CLEARING SERVICES LLC
January 1, 2001 - July 14, 2003
BNY CLEARING SERVICES LLC
March 7, 1986 - January 1, 2001
SCHRODER & CO. INC.
November 9, 1984 - February 11, 1986
M.S. ETHEREDGE & 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
AXOS CLEARING LLC
CRD#: 117176 / SEC#: , 8-53595
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AXOS SECURITIES, LLC | SOLE OWNER | |
| CROW, DAVID MICHAEL | PRESIDENT, AXOS CLEARING, LLC | 4370102 |
| FAUCHER, KATHY NOEL | AML OFFICER | 6323326 |
| GREEN, HOWARD MICHAEL | CHIEF FINANCIAL OFFICER | 2535812 |
| KINSELLA, SHAWN ROBERT | CHIEF COMPLIANCE OFFICER | 5793966 |
| PLUMMER, JEFFREY KENT | PRINCIPAL OPERATIONS OFFICER | 4576783 |
| SHIRMANG, STEPHEN LOWELL | CHIEF OPERATIONS OFFICER | 3083416 |
Disclosures
| Regulatory Event | 13 |
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.
