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Mario P. Torsiello

Some features on this profile are disabled
CRD#: 1667050
MT

Professional summary

Mario Patrick Torsiello was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Mario is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Mario had worked at 5 firms, which includes TORSIELLO SECURITIES INC., BRADLEY WOODS & CO. LTD., DRESDNER KLEINWORT WASSERSTEIN LLC, CITIGROUP GLOBAL MARKETS INC., SALOMON BROTHERS INC..

top-8-questions

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 16, 2004 - December 9, 2014

TORSIELLO SECURITIES, INC.

BD
CRD#: 130129
NEW YORK, NY
Past

November 10, 2003 - December 8, 2004

BRADLEY WOODS & CO. LTD.

BD
CRD#: 13660
NEW YORK, NY
Past

September 18, 2000 - October 25, 2001

DRESDNER KLEINWORT WASSERSTEIN, LLC

BD
CRD#: 22068
NEW YORK, NY
Past

November 28, 1997 - December 23, 1999

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 16, 1996 - September 1, 1998

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/31/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/9/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/28/1996
General Securities Principal Examination

Current Firm

TS
TORSIELLO SECURITIES, INC.
TORSIELLO SECURITIES, INC.

CRD#: 130129 / SEC#: , 8-66306

BD
Terminated by SEC on 02/07/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 10/14/2003
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TORSIELLO, MARIO PATRICKPRINCIPAL/PARTIAL OWNER/CCO1667050
ANDERSON, KATHERINE ALICEFINOP / CFO4723171

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

TORSIELLO SECURITIES, INC.

CRD#: 130129

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