Marco Spagnuolo
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.
Marco Spagnuolo JR was a registered financial professional .
Marco is a previously registered financial professional and started their career in finance in 1995. Marco had worked at 7 firms and has passed the Series 63 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
November 16, 2000 - May 10, 2001
VIEWTRADE SECURITIES, INC.
June 3, 1999 - November 21, 2000
BARRON CHASE SECURITIES, INC.
January 7, 1999 - February 1, 1999
KLEIN, MAUS & SHIRE INC.
June 4, 1998 - July 6, 1998
CENTEX SECURITIES, INCORPORATED
October 3, 1996 - February 13, 1998
ROYAL HUTTON SECURITIES CORP.
December 7, 1995 - February 20, 1996
CRESSIDA CAPITAL, INC
December 7, 1995 - October 15, 1996
TOLUCA PACIFIC SECURITIES CORP.
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
VIEWTRADE SECURITIES, INC.
CRD#: 46987 / SEC#: , 8-51605
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Arbitration | 1 |
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.
