Mark J. Magnone
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.
Mark Joseph Magnone, who also goes by Mark Joesph Magnone Mr., Mark Joesph Magnone, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1992. Mark had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2018 - April 20, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
April 6, 2018 - April 20, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 1, 2016 - July 11, 2017
M&T SECURITIES, INC.
February 11, 2016 - July 11, 2017
M&T SECURITIES, INC.
May 24, 2013 - February 8, 2016
BB&T INVESTMENT SERVICES, INC.
May 23, 2013 - February 8, 2016
BB&T INVESTMENT SERVICES, INC.
July 21, 2010 - May 3, 2013
TRUIST INVESTMENT SERVICES, INC.
July 21, 2010 - May 3, 2013
TRUIST INVESTMENT SERVICES, INC.
February 27, 2009 - July 20, 2010
WELLS FARGO CLEARING SERVICES, LLC
February 27, 2009 - July 20, 2010
WELLS FARGO CLEARING SERVICES, LLC
March 30, 2007 - March 4, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 30, 2007 - March 4, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 20, 2006 - April 3, 2007
EDWARD JONES
June 2, 2006 - April 3, 2007
EDWARD JONES
August 10, 2000 - June 6, 2006
MORGAN STANLEY DW INC.
April 5, 2000 - June 6, 2006
MORGAN STANLEY DW INC.
November 14, 1996 - March 30, 2000
A. G. EDWARDS & SONS, INC.
March 16, 1994 - November 11, 1996
FIRST MONTAUK SECURITIES CORP.
January 4, 1994 - March 17, 1994
CADARET, GRANT & CO., INC.
April 17, 1993 - December 31, 1993
CADARET, GRANT & CO., INC.
November 9, 1992 - April 19, 1993
TAMARON INVESTMENTS, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
