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Marianela Canton

CHATSWORTH SECURITIES LLC
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 1533250
MC

Professional summary

Marianela Canton, who also goes by Mari Canton, is a registered financial professional currently at CHATSWORTH SECURITIES LLC located in Greenwich, Connecticut.

Marianela is registered as a RR (Registered Representative) and started their career in finance in 1986. Marianela has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mari Canton

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marianela Canton's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 19, 2014 - Present

CHATSWORTH SECURITIES LLC

Office #1: 95 East Putnam Avenue, Greenwich, CT 06830
BD
CRD#: 40804
Greenwich, CT
Past

November 19, 2010 - March 5, 2012

STONEX FINANCIAL INC.

BD
CRD#: 45993
NEW YORK, NY
Past

September 15, 2008 - September 30, 2010

PROVIDENT INTERNATIONAL SECURITIES, INC.

BD
CRD#: 103834
NEW YORK, NY
Past

April 10, 2008 - November 16, 2010

D/B/A CLARKSONS PLATOU SECURITIES

BD
CRD#: 113325
NEW YORK, NY
Past

December 13, 2006 - October 31, 2007

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

March 25, 1992 - November 22, 1995

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

September 24, 1986 - March 17, 1992

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(5/20/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 5/22/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/12/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CHATSWORTH SECURITIES LLC
CHATSWORTH SECURITIES LLC | CHATSWORTH SECURITIES, LLC

CRD#: 40804 / SEC#: 801-120061, 8-49199

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
95 East Putnam Avenue, Greenwich, CT 06830
Mailing Address
95 East Putnam Avenue, Greenwich, CT 06830
Phone number
(203) 629-2612
Established
New York since 03/20/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
30

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
DIFIORE, RALPH RAYMONDSENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER / CHIEF EXECUTIVE OFFICER1913027
FULVIO, GENNARO JOHNFINOP2435828
MACLEAN, DANIEL CRAWFORDSENIOR MANAGING DIRECTOR1467579
MATCOVSKY, JOEL JAYSENIOR MANAGING DIRECTOR1769496
THE ESTATE OF CURTIS E. GOWDYESTATE

Disclosures

Regulatory Event1

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.

Company Information

CHATSWORTH SECURITIES LLC

CRD#: 40804Greenwich, CT 06830

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