Richard M. Marino
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.
Richard Mark Marino was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1993. Richard had worked at 5 firms and has passed the Series 63, Series 55 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2008 - June 30, 2011
DOMESTIC SECURITIES, INC.
April 1, 2008 - October 13, 2008
NEW VERNON SECURITIES, LLC
December 19, 2005 - November 6, 2007
EMPIRE FINANCIAL GROUP, INC.
December 15, 2003 - December 16, 2005
NEWOAK CAPITAL MARKETS LLC
March 22, 1993 - January 3, 2002
DEUTSCHE IXE, 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 55
Date: 3/13/2000
Limited Representative-Equity Trader ExamSeries 62
Date: 9/4/1990
Corporate Securities Limited Representative ExaminationCurrent Firm
DOMESTIC SECURITIES, INC.
CRD#: 34721 / SEC#: , 8-36129
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 13 |
Red Flags
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