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MP

Marco A. Pellini

PHILLIP CAPITAL
Chicago, IL 60604-2653
Some features on this profile are disabled
CRD#: 2189176
MP

Professional summary

Marco Amelio Pellini is a registered financial professional currently at PHILLIP CAPITAL INC. located in Chicago, Illinois.

Marco is registered as a RR (Registered Representative) and started their career in finance in 1992. Marco has worked at 9 firms and has passed the Series 63, Series 99TO, Series 3, SIE, Series 55, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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 Marco Amelio Pellini'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

June 23, 2022 - Present

PHILLIP CAPITAL INC.

Office #1: 141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653
BD
CRD#: 173869
Chicago, IL
Past

January 30, 2019 - June 22, 2022

PARKSIDE SECURITIES, INC.

BD
CRD#: 288004
San Francisco, CA
Past

September 25, 2013 - August 31, 2016

FANTEX BROKERAGE SERVICES, LLC

BD
CRD#: 164783
SAN FRANCISCO, CA
Past

December 2, 2010 - September 16, 2011

SURGE TRADING INC.

BD
CRD#: 126963
NEW YORK, NY
Past

October 30, 2008 - December 1, 2009

OPTIONSXPRESS, INC.

BD
CRD#: 103849
CHICAGO, IL
Past

August 20, 2002 - September 30, 2006

E*TRADE CAPITAL MARKETS - EXECUTION SERVICES LLC

BD
CRD#: 1625
CHICAGO, IL
Past

August 20, 2002 - February 27, 2008

G1 EXECUTION SERVICES, LLC

BD
CRD#: 111528
CHICAGO, IL
Past

October 13, 1992 - August 8, 2002

E*TRADE SECURITIES LLC

BD
CRD#: 29106
JERSEY CITY, NJ
Past

May 26, 1992 - October 20, 1992

INTERFIRST CAPITAL CORPORATION

BD
CRD#: 7659
LOS ANGELES, CA

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
Alabama
(6/11/2025)
RR
Alaska
(6/11/2025)
RR
Arizona
(1/8/2026)
RR
Arkansas
(7/17/2025)
RR
California
(4/15/2025)
RR
Colorado
(6/18/2025)
RR
Delaware
(6/1/2025)
RR
District of Columbia
(2/10/2026)
RR
Florida
(6/3/2025)
RR
Idaho
(6/13/2025)
RR
Illinois
(7/20/2022)
RR
Indiana
(12/9/2025)
RR
Iowa
(6/1/2025)
RR
Kansas
(6/3/2025)
RR
Kentucky
(6/11/2025)
RR
Louisiana
(6/5/2025)
RR
Maryland
(6/18/2025)
RR
Michigan
(7/10/2025)
RR
Minnesota
(8/8/2025)
RR
Mississippi
(6/13/2025)
RR
Montana
(8/19/2025)
RR
Nebraska
(6/9/2025)
RR
Nevada
(6/1/2025)
RR
New Hampshire
(7/23/2025)
RR
New Jersey
(5/16/2025)
RR
New Mexico
(7/14/2025)
RR
New York
(2/7/2023)
RR
North Carolina
(6/1/2025)
RR
North Dakota
(6/26/2025)
RR
Ohio
(7/8/2025)
RR
Oklahoma
(6/1/2025)
RR
Oregon
(7/16/2025)
RR
Pennsylvania
(2/8/2023)
RR
Puerto Rico
(8/25/2025)
RR
Rhode Island
(6/1/2025)
RR
South Carolina
(7/17/2025)
RR
South Dakota
(6/12/2025)
RR
Tennessee
(6/18/2025)
RR
Texas
(3/22/2023)
RR
Utah
(6/2/2025)
RR
Vermont
(7/10/2025)
RR
Virgin Islands
(7/29/2025)
RR
Virginia
(6/10/2025)
RR
Washington
(7/9/2025)
RR
West Virginia
(6/12/2025)
RR
Wisconsin
(6/10/2025)
RR
Wyoming
(6/1/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/13/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 3
Date: 9/28/2022
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 8/31/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/25/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/21/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/8/1993
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/3/1993
General Securities Principal Examination
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA

Current Firm

PC
PHILLIP CAPITAL INC.
PHILLIP CAPITAL INC. | PHILLIPCAPITAL

CRD#: 173869 / SEC#: , 8-69558

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

Main Address
141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653
Mailing Address
141 W. Jackson, Suite 1531a, Chicago, IL 60604-2653
Phone number
(312) 356-9000
Established
Delaware since 04/30/2010
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (44 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PHILLIP CAPITAL (USA) PTE LTDOWNER
CARTER, DEREK DAVIDCFO4261872
CULLEN, TIMOTHY BRENNANCHIEF COMPLIANCE OFFICER5290046
FRAZIER, CAMERON PAYNEDIRECTOR6420648
LECCHINI, FILIPPOCHIEF EXECUTIVE OFFICER5875701
SCHROEDER, TODD ALLENCHIEF OPERATING OFFICER3203892

Disclosures

Regulatory Event6

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

PHILLIP CAPITAL INC.

CRD#: 173869Chicago, IL 60604-2653

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