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Maryann Carone

SRT SECURITIES LLC
Lemont, IL
Some features on this profile are disabled
CRD#: 1989514
MC

Professional summary

Maryann Carone, who also goes by Maryann None Morie, Maryann Morie, Maryann None Tesinsky, Maryann Tesinsky, is a registered financial professional currently at SRT SECURITIES LLC located in Lemont, Illinois.

Maryann is registered as a RR (Registered Representative) and started their career in finance in 2001. Maryann has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 7 and Series 55 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Maryann None Morie | Maryann Morie | Maryann None Tesinsky | Maryann Tesinsky

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 Maryann Carone's 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

October 1, 2018 - Present

SRT SECURITIES LLC

BD
CRD#: 33725
Lemont, IL
Past

February 4, 2011 - November 1, 2018

LEK SECURITIES CORPORATION

BD
CRD#: 33135
CHICAGO, IL
Past

November 10, 2010 - February 23, 2011

DASH FINANCIAL TECHNOLOGIES LLC

BD
CRD#: 104031
CHICAGO, IL
Past

August 21, 2007 - December 16, 2009

DASH PRIME LLC

BD
CRD#: 41257
CHICAGO, IL
Past

April 14, 2003 - July 16, 2007

DASH FINANCIAL TECHNOLOGIES LLC

BD
CRD#: 104031
CHICAGO, IL
Past

June 22, 2001 - July 22, 2002

PAX CLEARING CORPORATION

BD
CRD#: 104263
CHICAGO, IL

State Registrations and Notice Filings

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

RR
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

RR
California
(12/21/2018)
RR
Connecticut
(11/19/2019)
RR
Illinois
(11/19/2019)
RR
Texas
(1/2/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 12/20/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/17/2001
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/21/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 12/4/2000
Limited Representative-Equity Trader Exam
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.

Current Firm

SS
SRT SECURITIES LLC
ISRAEL A. ENGLANDER & CO., INC. | SRT SECURITIES LLC | ISRAEL A. ENGLANDER & CO., LLC

CRD#: 33725 / SEC#: , 8-34415

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
416 Hawthorne Street, Birmingham, MI 48009
Mailing Address
416 Hawthorne Street, Birmingham, MI 48009
Phone number
(917) 282-4757
Established
Delaware since 05/24/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SRT SECURITIES INC.MEMBER
FRUCHTER, MICHAEL ALANCFO/FINANCIAL & OPERATIONS PRINCIPAL4202965
TOBIAS, STEPHEN RORYPRESIDENT, CCO, S.R.O.P. & C.R.O.P.1267337

Disclosures

Regulatory Event25

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

SRT SECURITIES LLC

CRD#: 33725Lemont, IL

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