Mario A. Truglio
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 Angelo Truglio, who also goes by Mario Truglio, was a registered financial professional .
Mario is a previously registered financial professional and started their career in finance in 1985. Mario had worked at 13 firms and has passed the Series 63, Series 25, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2010 - June 29, 2012
JOHN THOMAS FINANCIAL
November 17, 2008 - November 1, 2010
THE GRISWOLD COMPANY, INCORPORATED
June 25, 2007 - November 10, 2008
JOSEPH GUNNAR & CO. LLC
August 6, 2001 - July 2, 2007
TRADITION SECURITIES AND DERIVATIVES LLC
October 10, 2000 - August 13, 2001
CREDIT SUISSE SECURITIES (USA) LLC
February 26, 1998 - October 10, 2000
PERSHING LLC
July 17, 1995 - January 26, 1998
MINT BROKERS
April 5, 1995 - July 7, 1995
BNY DIRECT EXECUTION INC.
February 12, 1992 - March 23, 1995
GOLDMAN SACHS & CO. LLC
July 21, 1988 - January 30, 1992
LEHMAN BROTHERS INC.
September 16, 1987 - June 20, 1988
KUHNS BROTHERS & LAIDLAW, INC.
January 29, 1986 - October 10, 1987
MORGAN STANLEY & CO. LLC
November 19, 1985 - January 21, 1986
J.P. MORGAN 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 25
Date: 11/17/1999
NYSE Trading Assistant ExaminationCurrent Firm
JOHN THOMAS FINANCIAL
CRD#: 40982 / SEC#: , 8-49254
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CASTELLANO, JOSEPH LOUIS | CHIEF COMPLIANCE OFFICER | 1158479 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 18 |
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.
