Mario J. Iacoviello
Professional summary
Mario Joseph Iacoviello was barred by the SEC 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 1987. Prior to being barred, Mario had worked at 10 firms, which includes BIRKELBACH INVESTMENT SECURITIES INC., BARRON CHASE SECURITIES INC., LEXINGTON SECURITIES INC., CENTEX SECURITIES INCORPORATED, GIBRALTAR INVESTMENTS INC., WILLIAM BARTON FINANCIAL INC., CIBC WORLD MARKETS CORP., RODMAN & RENSHAW INC., GENEVA SECURITIESINC., M.L. STERN & CO. LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 1996 - April 2, 1997
BIRKELBACH INVESTMENT SECURITIES, INC.
November 10, 1995 - October 28, 1996
BARRON CHASE SECURITIES, INC.
May 11, 1995 - October 23, 1995
LEXINGTON SECURITIES, INC.
February 24, 1993 - May 10, 1995
CENTEX SECURITIES, INCORPORATED
February 20, 1991 - August 14, 1992
GIBRALTAR INVESTMENTS, INC.
July 10, 1990 - October 24, 1990
WILLIAM BARTON FINANCIAL, INC.
January 16, 1990 - June 4, 1990
CIBC WORLD MARKETS CORP.
December 20, 1988 - January 23, 1990
RODMAN & RENSHAW INC.
April 25, 1988 - January 4, 1989
GENEVA SECURITIES,INC.
October 20, 1987 - March 11, 1988
M.L. STERN & CO., 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
Current Firm
BIRKELBACH INVESTMENT SECURITIES, INC.
CRD#: 11490 / SEC#: , 8-22772
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARL MAX BIRKELBACH TRUST, | TRUST IS OWNER/SHAREHOLDER OF BD | |
| ZUREK, JAMES T | CCO-TEXAS/ROP | 824892 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
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