Michael A. Avallone
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.
Michael Anthony Avallone, who also goes by Michael Avallone, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 10 firms and has passed the Series 63, Series 3, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2020 - October 12, 2021
MAREX CAPITAL MARKETS INC.
September 15, 2017 - November 20, 2019
XP INVESTMENTS US, LLC
March 4, 2013 - October 19, 2016
ICAP SECURITIES USA LLC
March 1, 2013 - March 4, 2013
TP ICAP GLOBAL MARKETS AMERICAS LLC
June 29, 2010 - March 7, 2013
BGC FINANCIAL, L.P.
April 30, 2008 - July 7, 2010
GFI SECURITIES LLC
March 15, 2005 - August 9, 2006
CANTOR FITZGERALD & CO.
September 15, 1997 - March 14, 2001
TRADITION SECURITIES AND DERIVATIVES LLC
February 22, 1996 - September 10, 1996
GARBAN CAPITAL MARKETS LLC
April 25, 1994 - May 23, 1995
LEHMAN BROTHERS 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
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
Red Flags
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