Walter J. Marino
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Walter Joseph Marino, who also goes by Walter Marino, was a registered financial advisor .
Walter is a previously registered financial advisor and started their career in finance in 1993. Walter had worked at 15 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2016 - December 5, 2016
BENJAMIN SECURITIES, INC.
October 9, 2015 - October 27, 2016
LINCOLN INVESTMENT
August 21, 2015 - September 11, 2015
PLANMEMBER SECURITIES CORPORATION
April 4, 2013 - August 11, 2015
LEGEND ADVISORY, LLC
July 24, 2002 - August 11, 2015
LEGEND EQUITIES CORPORATION
December 21, 2001 - July 23, 2002
EKN FINANCIAL SERVICES INC.
October 23, 2001 - December 21, 2001
EHRENKRANTZ KING NUSSBAUM
October 24, 2000 - August 21, 2001
BRILL SECURITIES, INC.
February 4, 1999 - November 2, 2000
BERRY-SHINO SECURITIES, INC.
July 24, 1997 - November 3, 1998
GLOBAL CAPITAL MARKETS, LLC
January 14, 1997 - July 8, 1997
H G I
February 2, 1995 - December 20, 1996
STRATTON OAKMONT INC.
June 1, 1994 - August 30, 1994
WESTFIELD FINANCIAL CORPORATION
March 7, 1994 - May 16, 1994
LCP CAPITAL CORP.
September 27, 1993 - February 24, 1994
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
BENJAMIN SECURITIES, INC.
CRD#: 7754 / SEC#: 801-30987, 8-23518
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
BENJAMIN SECURITIES, INC.
CRD#: 7754 / SEC#: 801-30987, 8-23518
Contact information
SEC notice filing (4 States and Territories)
FINRA licenses (33 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 68 |
| AUM (Assets Under Management) | $ 33,609,905 |
Disclosures
| Regulatory Event | 1 |
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.
