Mario Lagana

ROBERTS & RYAN

Red Bank, NJ 07701

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CRD#: 1781966

Professional summary

Mario Lagana is a registered financial professional currently at ROBERTS & RYAN, INC. located in Red Bank, New Jersey.

Mario is registered as a RR (Registered Representative) and started their career in finance in 1991. Mario has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Mario Lagana's CRS (Customer Relationship Summary).

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

February 1, 2023 - Present

ROBERTS & RYAN, INC.

Office #1: 157 Broad St, Suite 207, Red Bank, NJ 07701

CRD#: 19456

Red Bank, NJ

Past

November 19, 2018 - January 10, 2023

DREXEL HAMILTON, LLC

CRD#: 143570

NEW YORK, NY

Past

July 20, 2010 - November 8, 2018

WILLIAM O'NEIL SECURITIES

CRD#: 894

NEW YORK, NY

Past

May 4, 2010 - June 29, 2010

SEAPORT SECURITIES CORP.

CRD#: 8330

NEW YORK, NY

Past

March 18, 2004 - October 8, 2009

VDM INSTITUTIONAL BROKERAGE, LLC

CRD#: 39022

NEW YORK, NY

Past

March 1, 2004 - March 17, 2004

COWEN EXECUTION SERVICES LLC

CRD#: 35693

NEW YORK, NY

Past

September 18, 1997 - March 1, 2004

BNY DIRECT EXECUTION INC.

CRD#: 29598

NEW YORK, NY

Past

January 14, 1991 - September 18, 1997

WILLIAM O'NEIL SECURITIES

CRD#: 894

BOSTON, MA

State Registrations and Notice Filings

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

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

Connecticut
(11/18/2024)

Florida
(11/18/2024)

New Jersey
(2/1/2023)

New York
(2/1/2023)

Exams

State Security Law Exam

Series 63

Date: 3/23/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 9/17/2010

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 1/11/1991

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

ROBERTS & RYAN, INC.

ROBERTS & RYAN INVESTMENTS INC. | ROBERTS SECURITIES, INC. | ROBERTS & RYAN, INC.

CRD#: 19456 / SEC#: 801-113965, 8-37469

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

39 Broadway Ste 1640, New York, NY 10006

Mailing Address

39 Broadway Ste 610, New York, NY 10006-3003

Phone number

(866) 884-9959

Established

Delaware since 02/01/2023

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (32 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

Name	Position	CRD#
DALESSANDRO, EDWARD JOHN	MANAGING DIRECTOR, CEO	2335785
R&R PARTNERS HOLDING COMPANY, LLC	SHAREHOLDER
R&R PRINCIPALS HOLDING COMPANY, LLC	SHAREHOLDER
BEATON, DANIEL STEWART	CHIEF FINANCIAL OFFICER, FINOP	4240769
ROBERTS, DANIEL	CCO	2208120
SCALA, BRIAN NMN	REGISTERED OPTIONS PRINCIPAL	2814478

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Mario Lagana

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mario Lagana's CRS (Customer Relationship Summary).

Certified licenses

Experience

DREXEL HAMILTON, LLC

WILLIAM O'NEIL SECURITIES

SEAPORT SECURITIES CORP.

VDM INSTITUTIONAL BROKERAGE, LLC

COWEN EXECUTION SERVICES LLC

BNY DIRECT EXECUTION INC.

WILLIAM O'NEIL SECURITIES

State Registrations and Notice Filings

Exams

Series 63

Date: 3/23/1994

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 9/17/2010

Series 7

Date: 1/11/1991

FINRA

New York Stock Exchange

Current Firm

ROBERTS & RYAN, INC.

Contact information

FINRA licenses (32 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROBERTS & RYAN, INC.

TRUST BUT VERIFY

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