Carmine D. Falco

MAREX CAPITAL MARKETS

New York, NY 10017

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CRD#: 2782798

Professional summary

Carmine Domenico Falco, who also goes by Carmine Dominick Falco, is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in New York, New York.

Carmine is registered as a RR (Registered Representative) and started their career in finance in 1998. Carmine has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carmine Dominick Falco

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carmine Domenico Falco's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 23, 2025 - Present

MAREX CAPITAL MARKETS INC.

Office #1: 140 East 45th Street 10th Floor, New York, NY 10017

CRD#: 161014

New York, NY

Past

June 30, 2015 - February 23, 2022

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 20, 2000 - June 12, 2015

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

May 14, 1998 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

May 14, 1998 - March 16, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 19, 1998 - May 15, 1998

ING BARING (U.S.) SECURITIES, INC.

CRD#: 5285

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 3/27/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/18/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 6/27/2025

Financial and Operations Principal Examination

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

MAREX CAPITAL MARKETS INC.

E D & F MAN CAPITAL MARKETS INC. | MPS | MAREX CAPITAL MARKETS INC.

CRD#: 161014 / SEC#: , 8-69039

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

140 East 45th Street 10th Floor, New York, NY 10017

Mailing Address

140 East 45th Street 10th Floor, New York, NY 10017

Phone number

(212) 618-2800

Established

New York since 01/10/1952

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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.

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Advisor Monitoring

Firm Stability Insights

Carmine D. Falco

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carmine Domenico Falco's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

GOLDMAN SACHS & CO. LLC

SALOMON BROTHERS INC.

CITIGROUP GLOBAL MARKETS INC.

ING BARING (U.S.) SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/27/1998

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/18/1998

Series 27

Date: 6/27/2025

Cboe C2 Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

Current Firm

MAREX CAPITAL MARKETS INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MAREX CAPITAL MARKETS INC.

TRUST BUT VERIFY

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