Marisol C. Guarino
Professional summary
Marisol Caridad Guarino, who also goes by Marisol Caridad Guarino, Mariso Caridad Peralta, Marisol Caridad Peralta, is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in Pompano Beach, Florida.
Marisol is registered as a RR (Registered Representative) and started their career in finance in 1996. Marisol has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Marisol Caridad Guarino's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 22, 2022 - Present
B. RILEY WEALTH MANAGEMENT
May 26, 2020 - July 22, 2022
NATIONAL SECURITIES CORPORATION
November 22, 2019 - April 13, 2020
STATETRUST INVESTMENTS INC.
February 15, 2019 - July 2, 2019
MORGAN STANLEY
September 7, 2017 - November 13, 2017
NATIONAL SECURITIES CORPORATION
April 19, 2010 - December 16, 2015
ROCKWELL GLOBAL CAPITAL LLC
December 13, 2007 - January 7, 2009
CETERA ADVISORS LLC
October 23, 2002 - December 11, 2007
MAXIM GROUP LLC
March 16, 2001 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
March 26, 1996 - January 2, 2001
GKN SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/22/2022)
(7/22/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 11
Date: 3/25/1996
Assistant Representative-Order Processing Qualification ExamFINRA
Current Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
Red Flags
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