Mario J. Ferrari
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 Ferrari was a registered financial professional .
Mario is a previously registered financial professional and started their career in finance in 1986. Mario had worked at 8 firms and has passed the Series 63, Series 7, Series 3, Series 6, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2005 - May 14, 2014
AURORA CAPITAL LLC
October 10, 2001 - December 16, 2005
STERLING FINANCIAL INVESTMENT GROUP, INC.
January 3, 1995 - October 15, 2001
A. G. EDWARDS & SONS, INC.
May 29, 1992 - January 28, 1995
UBS FINANCIAL SERVICES INC.
February 27, 1989 - June 6, 1992
DAVID LERNER ASSOCIATES, INC.
June 7, 1988 - July 19, 1988
J. W. GANT & ASSOCIATES, INC.
December 22, 1987 - May 2, 1988
SUPER FUND SECURITIES CORP.
March 26, 1986 - April 20, 1987
PRUCO SECURITIES, LLC.
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 8
Date: 11/4/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AURORA CAPITAL LLC
CRD#: 37924 / SEC#: , 8-48069
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 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.
