Mario Dalla Valle
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.
Mario Dalla Valle, who also goes by Mario Dallavalle, was a registered financial professional .
Mario is a previously registered financial professional and started their career in finance in 1996. Mario had worked at 8 firms and has passed the Series 63, Series 65, Series 52TO, SIE, Series 7, Series 6, Series 26, Series 53, Series 24 and Series 51 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2016 - December 31, 2022
CAPITOL SECURITIES MANAGEMENT, INC.
September 8, 2016 - December 31, 2022
CAPITOL SECURITIES MANAGEMENT, INC.
October 20, 2014 - June 30, 2016
EQUITABLE ADVISORS, LLC
August 22, 2014 - June 30, 2016
EQUITABLE ADVISORS, LLC
May 28, 2013 - July 14, 2014
NEW ENGLAND SECURITIES
May 18, 2004 - July 14, 2014
MSI FINANCIAL SERVICES, INC.
April 19, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
April 19, 2004 - July 14, 2014
MSI FINANCIAL SERVICES, INC.
August 22, 2002 - May 3, 2004
PRUCO SECURITIES, LLC.
July 31, 1999 - May 3, 2004
PRUCO SECURITIES, LLC.
May 3, 1999 - June 4, 1999
PARK AVENUE SECURITIES LLC
June 19, 1996 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
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.
