Mario J. Depinto
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 Joseph Depinto was a registered financial professional .
Mario is a previously registered financial professional and started their career in finance in 1985. Mario had worked at 15 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
August 31, 2000 - April 4, 2001
HAPOALIM SECURITIES USA, INC.
September 25, 1998 - July 28, 2000
ADOLPH KOMORSKY INVESTMENTS
February 26, 1998 - July 16, 1998
J.W. BARCLAY & CO., INC.
May 27, 1997 - November 4, 1997
JWGENESIS SECURITIES, INC.
March 17, 1997 - May 13, 1997
CONTINENTAL BROKER-DEALER CORP.
January 23, 1996 - March 4, 1997
AMERICORP SECURITIES, INC.
December 23, 1994 - February 22, 1996
RICKEL & ASSOCIATES, INC.
October 6, 1989 - December 23, 1994
SOUTH RICHMOND SECURITIES, INC.
May 17, 1989 - October 5, 1989
BERKELEY SECURITIES CORPORATION
April 18, 1989 - May 25, 1989
BRENNAN ROSS SECURITIES, INC.
April 5, 1989 - April 27, 1989
MLB INVESTMENTS, LTD.
March 9, 1989 - April 11, 1989
MONMOUTH INVESTMENTS, INC.
November 10, 1987 - March 14, 1989
J. T. MORAN & CO., INC.
June 30, 1986 - November 16, 1987
PHILIPS, APPEL & WALDEN, INC.
June 18, 1985 - June 30, 1986
S. D. COHN & CO.
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
HAPOALIM SECURITIES USA, INC.
CRD#: 266 / SEC#: , 8-3018
Contact information
Documents
Disclosures
| Regulatory Event | 32 |
| Civil Event | 1 |
| Arbitration | 6 |
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.
