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Marco Spagnuolo Jr

CRD# 2617758·Registered 1995 - 2001
Previously Registered: Being a previously registered professional could mean that Marco 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.

Professional Summary

Marco Spagnuolo JR was a registered financial advisor. Marco was a previously registered financial professional and started their career in finance 1995 - 2001. Marco had worked at 7 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

31 years in the financial services industry

Current & Past Employments

VIEWTRADE SECURITIES, INC.·CRD# 46987
BD
Boca Raton, FL
November 16, 2000 - May 10, 2001
BARRON CHASE SECURITIES, INC.·CRD# 18969
BD
Boca Raton, FL
June 3, 1999 - November 21, 2000
KLEIN, MAUS & SHIRE INC.·CRD# 20527
BD
New York, NY
January 7, 1999 - February 1, 1999
CENTEX SECURITIES, INCORPORATED·CRD# 18493
BD
La Jolla, CA
June 4, 1998 - July 6, 1998
ROYAL HUTTON SECURITIES CORP.·CRD# 14489
BD
New York, NY
October 3, 1996 - February 13, 1998
CRESSIDA CAPITAL, INC·CRD# 32352
BD
New York, NY
December 7, 1995 - February 20, 1996
TOLUCA PACIFIC SECURITIES CORP.·CRD# 13875
BD
Burbank, CA
December 7, 1995 - October 15, 1996

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Current Firm

VS
VIEWTRADE SECURITIES, INC.

VIEWTRADE SECURITIES LLC | VIEWTRADE SECURITIES, INC.

CRD#: 46987 / SEC#: 8-51605
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)

Contact Information

Main Address

7280 W. Palmetto Park Rd. Suite 310, Boca Raton, FL 33433

Mailing Address

7280 W. Palmetto Park Rd. Suite 310, Boca Raton, FL 33433

Phone Number

(561) 620-0306

Established

Delaware since 03/17/2000

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VIEWTRADE HOLDING CORPORATIONSHAREHOLDER—
DEIHL, MEGAN KOCZAKCHIEF FINANCIAL OFFICER2895988
FORD, MARK ALANCHIEF COMPLIANCE OFFICER1913958
PINHEIRO, DESIREE LEECHIEF OPERATIONS OFFICER4444808
ROSEN, STEVEN ALLENSROP1428637
STCLAIR, JAMES JOSEPH JRPRESIDENT1550599

Disclosures

Regulatory Event

18

Arbitration

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1995About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Dec 1995About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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