Mario F. Espinosa
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 Fernando Espinosa was a registered financial professional .
Mario is a previously registered financial professional and started their career in finance in 1996. Mario had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2017 - November 10, 2019
BROADSPAN SECURITIES LLC
October 8, 1998 - July 15, 2016
CITIGROUP GLOBAL MARKETS INC.
February 7, 1996 - October 8, 1998
CITICORP SECURITIES, 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
BROADSPAN SECURITIES LLC
CRD#: 114423 / SEC#: , 8-53423
Contact information
FINRA licenses (6 States and Territories)
Documents
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.
