Marc Mainelli
Professional summary
Marc Mainelli is a registered financial professional currently at CIBC WORLD MARKETS CORP. located in New York, New York.
Marc is registered as a RR (Registered Representative) and started their career in finance in 1996. Marc has worked at 8 firms and has passed the Series 63, Series 79TO, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Marc Mainelli's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 8, 2020 - Present
CIBC WORLD MARKETS CORP.
Office #1: 300 Madison Avenue Sixth Floor, New York, NY 10017February 12, 2014 - December 31, 2015
MCINTYRE CAPITAL PARTNERS, LLC
January 14, 2008 - February 8, 2012
OPPENHEIMER & CO. INC.
March 9, 2005 - January 14, 2008
CIBC WORLD MARKETS CORP.
September 17, 2004 - March 17, 2005
GE CAPITAL MARKETS, INC.
September 5, 2000 - March 31, 2004
APEX CLEARING CORPORATION
April 25, 2000 - September 5, 2000
ROBERTSON STEPHENS, INC.
November 30, 1998 - April 20, 2000
BNP PARIBAS INVESTMENT SERVICES, LLC
August 23, 1996 - March 31, 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
(11/12/2020)
Exams
Series 79TO
Date: 12/8/2020
Investment Banking Registered Representative ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CIBC WORLD MARKETS CORP.
CRD#: 630 / SEC#: , 8-18333
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIBC INC. | 100% SHAREHOLDER | |
| CONSOLA, PATRICK D | CHIEF COMPLIANCE OFFICER | 1133831 |
| DUBCZAK, ROMAN STEPAN | DIRECTOR | 5511542 |
| GRIFFITH, MARVIN SCOTT | PRINCIPAL FINANCIAL OFFICER | 1670889 |
| PERRY, ACHILLES M | GENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR | 4183476 |
| PRICE, ERIC S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 1985843 |
| TRABOULSI, ALFRED | MANAGING DIRECTOR, HEAD US INVESTMENT BANKING | 6594715 |
| ZELLERMAYER, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1662785 |
Disclosures
| Regulatory Event | 76 |
| Arbitration | 86 |
Red Flags
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