James V. 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.
James Vincent Marino SR, who also goes by James VIncent Marino, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 5 firms and has passed the Series 63 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
August 30, 2000 - September 30, 2002
MANTIS SECURITIES, INC.
September 10, 1999 - August 2, 2000
NORTHRIDGE CAPITAL CORPORATION
November 20, 1997 - September 9, 1999
G.F.B. SECURITIES, INC.
July 9, 1996 - November 13, 1997
R.D. WHITE & CO., INC.
March 4, 1993 - May 2, 1996
A.S. GOLDMEN & CO., INC.
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
MANTIS SECURITIES, INC.
CRD#: 104019 / SEC#: , 8-52508
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESSLER, DEBORAH AMY | PASSIVE INVESTOR | 4176426 |
| LOUIS JAMES CONSULTING | REGISTERED REPRESENTATIVE | |
| MCKEON, JAMES | PASSIVE INVESTOR | 4298462 |
| DICESARE, LOUIS | PASSIVE INVESTOR | 4299235 |
| DICESARE, PAUL | PASSIVE INVESTOR | 4299247 |
| GERTELMAN, PAUL RICHARD | PASSIVE INVESTOR | 4299195 |
| GREENSIDE, JEFFREY KENNETH | PASSIVE INVESTOR | 4299138 |
| K INVESTING | PASSIVE INVESTOR | |
| KOESTLER, ANTHONY WILLIAM | PASSIVE INVESTOR | 4298448 |
| NACHMAN, ALEXANDER HUNT | BRANCH MANAGER | 2338967 |
| TREICHLER, BRADLEY GROVE | PASSIVE INVESTOR | 2200599 |
| ARENA, MARC ANTHONY | PRINCIPAL | 2754309 |
| BORGNER, RICHARD REISS | PRESIDENT, MUNICIPAL SECURITIES PRINCIPAL, DIRECTOR OF COMPLIANCE | 1104666 |
| LINZER, EDWARD | CFO, FINOP | 1050490 |
| POSILLICO, ROBERT JOSEPH | SROP/CROP | 2301873 |
| PRISTERA, GARY | PASSIVE INVESTOR | 4299204 |
Red Flags
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