Marc Mainelli
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.
Marc Mainelli was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1996. Marc had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2020 - November 21, 2025
CIBC WORLD MARKETS CORP.
February 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
Exams
Series 79TO
Date: 12/8/2020
Investment Banking Registered Representative ExaminationCurrent 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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