Marc A. Benedetto
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.
Marc A Benedetto was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1993. Marc had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2012 - October 5, 2017
NORTHEAST SECURITIES, LLC
July 29, 2010 - May 2, 2012
COMMERZ MARKETS LLC
February 22, 2006 - July 29, 2010
COMMERZBANK CAPITAL MARKETS CORP.
June 13, 2005 - February 16, 2006
MUFG SECURITIES AMERICAS INC.
August 21, 2002 - June 14, 2005
EKN FINANCIAL SERVICES INC.
September 3, 1993 - August 20, 2002
NORTHEAST SECURITIES, LLC
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
NORTHEAST SECURITIES, LLC
CRD#: 25996 / SEC#: , 8-42227
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL SERVICES, LLC | SHAREHOLDER | |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| DIAMANTIS, JOHN M | CHAIRMAN | 1310200 |
| DUFFY, PAUL EDWARD | PRESIDENT | 2227111 |
| O'ROURKE, CHARLES MICHAEL | SECRETARY | 733917 |
| STICE, HAROLD EUGENE | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, ROSFP | 1349210 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 11 |
Red Flags
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