James Vincent Marino Sr
Professional Summary
James Vincent Marino SR, who also goes by James VIncent Marino, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1993 - 2002. James had worked at 5 firms and has passed the Series 63 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Vincent Marino
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
MANTIS SECURITIES, INC.
Contact Information
Established
New York since 03/27/2000Firm Type
CorporationFiscal Year End
DecemberDocuments
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 |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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