Mario J. Coniglione
Professional summary
Mario Joseph Coniglione was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mario is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Mario had worked at 5 firms, which includes CARLIN EQUITIES LLC, LCP CAPITAL CORP., FIRST METROPOLITAN SECURITIES INC., WILLIAM SCOTT & CO. L.L.C., MEYERS POLLOCK ROBBINS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2000 - January 16, 2001
CARLIN EQUITIES, LLC
July 22, 1998 - August 11, 1998
LCP CAPITAL CORP.
May 12, 1998 - June 15, 1998
FIRST METROPOLITAN SECURITIES, INC.
June 21, 1995 - October 27, 1997
WILLIAM SCOTT & CO. L.L.C.
March 30, 1994 - July 10, 1995
MEYERS POLLOCK ROBBINS, 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
CARLIN EQUITIES, LLC
CRD#: 31295 / SEC#: , 8-40963
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARLIN GROUP LLC | OWNER OF CARLIN EQUITIES LLC | |
| BERNSTEIN, SAMUEL H | CHIEF STRATEGIC OFFICER | 2183676 |
| FEIG, ROBERT | VICE PRESIDENT, SALES | 871895 |
| FROMMER, JEREMY PHILLIP | PRESIDENT | 2099159 |
| FROMMER, JEREMY PHILLIP | CHIEF EXECUTIVE OFFICER | 2099159 |
| PORTNOI, ALAN SCOTT | MANAGING DIRECTOR, INSTITUTIONAL SALES | 1537825 |
| SHAH, UPENDRA KANTILAL | CHIEF INFORMATION OFFICER | |
| SHEAR, RONALD HENRY | CHAIRMAN | 420846 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
Red Flags
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