Dominic Marchesano
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.
Dominic Marchesano was a registered financial professional .
Dominic is a previously registered financial professional and started their career in finance in 1985. Dominic had worked at 3 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2009 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
July 25, 1987 - December 31, 2011
MERRILL LYNCH GOVERNMENT SECURITIES INC.
March 19, 1985 - June 19, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
BANC OF AMERICA SECURITIES LLC
CRD#: 26091 / SEC#: , 8-42263
Contact information
Documents
Disclosures
| Regulatory Event | 88 |
| Civil Event | 2 |
| Arbitration | 3 |
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.
