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Marios Konstantinos Sinapoglou

CRD# 2672554·Registered 1995 - 2020
Previously Registered: Being a previously registered professional could mean that Marios 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

Marios Konstantinos Sinapoglou, who also goes by Morios Konstantinos Sinapoglou, was a registered financial advisor. Marios was a previously registered financial professional and started their career in finance 1995 - 2020. Marios had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 57TO, Series 7 and Series 56 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

Morios Konstantinos Sinapoglou

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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

TRINITY EXECUTIONS, LLC·CRD# 159105
BD
Chicago, IL
December 1, 2016 - April 1, 2020
SUMO CAPITAL, LLC·CRD# 146310
BD
Chicago, IL
September 26, 2013 - August 26, 2015
DRO-WST TRADING, LLC·CRD# 121439
BD
Chicago, IL
August 13, 2012 - October 8, 2013
NEBRASKA HUDSON COMPANY, INC.·CRD# 27501
BD
Omaha, NE
August 14, 1996 - October 28, 1997
CHATFIELD DEAN & CO., INC.·CRD# 14714
BD
Greenwood Village, CO
November 24, 1995 - January 26, 1996

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Current Firm

TE
TRINITY EXECUTIONS, LLC

TRINITY EXECUTIONS, LLC

CRD#: 159105 / SEC#: 8-68963
BD
Terminated by SEC on 08/30/2020

Contact Information

Established

Illinois since 08/15/2011

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
DALESANDRO, MICHAEL ANTHONYSERIES 24 PRINCIPAL, MEMBER2359354
STEINMETZ, TIMOTHY WILLIAMSERIES 24 PRINCIPAL, MEMBER, CCO5162118
CARROLL, JOHN DAVIDSERIES 24 PRINCIPAL, MEMBER, FINOP5823357

Disclosures

Regulatory Event

5

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Other business activities

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 Nov 1995About the Series 63 exam

Series 7TO — General Securities Representative Examination

Passed Jun 2024About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Jun 2024About the SIE exam

Series 57TO — Securities Trader Exam

Passed Jun 2024About the Series 57TO exam

Series 7 — General Securities Representative Examination

Passed Nov 2014About the Series 7 exam

Series 56 — Proprietary Trader Qualification Examination

Passed Aug 2012

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CRS (Client Relationship Summary)

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

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