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GM

Gene T. Mancinelli

CRD#: 1590679
Some features on this profile are disabled
GM
Gene Thomas Mancinelli

Professional summary

Gene Thomas Mancinelli was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gene is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Gene had worked at 15 firms, which includes WILMINGTON CAPITAL SECURITIES LLC, NEWOAK CAPITAL MARKETS LLC, JESUP & LAMONT SECURITIES CORP, EKN FINANCIAL SERVICES INC., TRADITION SECURITIES AND DERIVATIVES LLC, WINDSOR STREET CAPITAL LP, GRANTA CAPITAL GROUP LLC, ORMES CAPITAL MARKETS INC., WALL STREET ACCESS, HAPOALIM SECURITIES USA INC., STUART COLEMAN & CO. INC., GRUNTAL & CO. L.L.C., REICH & CO. INC., FRANK HENJES & COMPANY INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 2, 2009 - April 5, 2010

WILMINGTON CAPITAL SECURITIES, LLC

BD
CRD#: 133839
NEW YORK, NY
Past

August 25, 2008 - May 28, 2009

NEWOAK CAPITAL MARKETS LLC

BD
CRD#: 104063
NEW YORK, NY
Past

June 30, 2008 - September 2, 2008

WILMINGTON CAPITAL SECURITIES, LLC

BD
CRD#: 133839
GARDEN CITY, NY
Past

September 7, 2007 - June 17, 2008

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
NEW YORK, NY
Past

August 18, 2006 - September 21, 2007

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
NEW YORK, NY
Past

June 15, 2005 - August 17, 2006

TRADITION SECURITIES AND DERIVATIVES LLC

BD
CRD#: 28269
NEW YORK, NY
Past

August 20, 2004 - May 13, 2005

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
NEW YORK, NY
Past

October 11, 2002 - September 16, 2004

GRANTA CAPITAL GROUP LLC

BD
CRD#: 114657
NEW YORK, NY
Past

May 8, 2002 - November 4, 2002

ORMES CAPITAL MARKETS, INC.

BD
CRD#: 32351
NEW YORK, NY
Past

March 9, 2001 - May 8, 2002

WALL STREET ACCESS

BD
CRD#: 10012
NEW YORK, NY
Past

January 8, 1999 - March 12, 2001

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

January 1, 1997 - January 19, 1999

STUART, COLEMAN & CO., INC.

BD
CRD#: 8642
NEW YORK, NY
Past

January 23, 1994 - May 21, 1996

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

December 1, 1992 - January 1, 1994

REICH & CO., INC.

BD
CRD#: 19611
Past

June 12, 1987 - December 1, 1992

REICH & CO., INC.

BD
CRD#: 3148
Past

February 6, 1987 - May 29, 1987

FRANK HENJES & COMPANY, INC.

BD
CRD#: 7168

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WC
WILMINGTON CAPITAL SECURITIES, LLC
ALLELE CAPITAL PARTNERS | WILMINGTON CAPITAL SECURITIES, LLC | LIBERTY CROSSING CAPITAL MARKETS, LLC | GHS CAPITAL MANAGEMENT, LLC | FOREFRONT WEALTH MANAGEMENT | DAVID E. ASTORR, INC. | DAVID E. ASTORR INC. | CLARK CAPITAL

CRD#: 133839 / SEC#: 801-101483, 8-67149

RIA
Registered Investment Advisory firm - SEC (7/27/2015 Approved)
New Jersey
Registered Investment Advisory firm - SEC (7/28/2015 Terminated)
New York
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/22/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/26/2018
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/26/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 52
Date: 4/6/1987
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/25/1986
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/18/1993
Municipal Securities Principal Examination

Current Firm

WC
WILMINGTON CAPITAL SECURITIES, LLC
ALLELE CAPITAL PARTNERS | WILMINGTON CAPITAL SECURITIES, LLC | LIBERTY CROSSING CAPITAL MARKETS, LLC | GHS CAPITAL MANAGEMENT, LLC | FOREFRONT WEALTH MANAGEMENT | DAVID E. ASTORR, INC. | DAVID E. ASTORR INC. | CLARK CAPITAL

CRD#: 133839 / SEC#: 801-101483, 8-67149

RIA
Registered Investment Advisory firm - SEC (7/27/2015 Approved)
New Jersey
Registered Investment Advisory firm - SEC (7/28/2015 Terminated)
New York
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
666 Old Country Road Suite 505, Garden City, NY 11530
Mailing Address
666 Old Country Road Suite 505, Garden City, NY 11530
Phone number
(516) 750-6200
Established
New York since 11/18/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
6

SEC notice filing (7 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

WILMINGTON CAPITAL SECURITIES, LLC (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
WILMINGTON CAPITAL GROUP, INC.PARENT COMPANY
COLUMBO, JOSEPH DONALDCHAIRMAN OF BROKER DEALER, GENERAL PRINCIPAL, GOVERNMENT SECURITIES PRINCIPAL, MSRB PRINCIPAL, ELECTED MANAGER823524
DORUSHKIN, RONALD BRETTCEO OF BROKER DEALER, GENERAL PRINCIPAL, ELECTED MANAGER2245185
LEE, DENNIS PETERCHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER OF BROKER DEALER AND INVESTMENT ADVISOR, REGISTERED OPTIONS PRINCIPAL6008539
MIKES, JOHNPRESIDENT OF BROKER DEALER, GENERAL SECURITIES PRINCIPAL, ELECTED MANAGER,OSJ SUPERVISOR2458544
VITTOR, GREG TODDFINOP, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER1864219

Regulatory assets under management

Total Number of Accounts279
AUM (Assets Under Management)$ 258,250,437

Disclosures

Regulatory Event2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

WILMINGTON CAPITAL SECURITIES, LLC

CRD#: 133839

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