Mario R. Picone
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 Robert Picone was a registered financial professional .
Mario is a previously registered financial professional and started their career in finance in 1999. Mario had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 21 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2016 - July 27, 2020
GTS SECURITIES LLC
November 9, 2009 - April 27, 2016
BARCLAYS CAPITAL INC.
April 28, 2008 - August 21, 2009
VDM CAPITAL MARKETS, LLC
December 17, 2007 - May 1, 2008
LEHMAN BROTHERS INC.
July 9, 2007 - January 8, 2008
VAN DER MOOLEN SPECIALISTS USA, LLC
November 15, 1999 - June 28, 2007
LABRANCHE & CO. LLC
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 55
Date: 1/11/2010
Limited Representative-Equity Trader ExamSeries 21
Date: 8/24/2000
NYSE Front Line Specialist ClerkSeries 25
Date: 10/28/1999
NYSE Trading Assistant ExaminationCurrent Firm
GTS SECURITIES LLC
CRD#: 149224 / SEC#: , 8-68126
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GTS FINANCIAL LLC | HOLDING COMPANY/CLASS A MEMBER | |
| GILLETTE, CHARLES P | TRADING AND MARKETS CHIEF COMPLIANCE OFFICER | 3174027 |
| NAZEM, DARIUSH | CHIEF OPERATING OFFICER | 4930821 |
| ROMANELLO, PATRICK JOSEPH | CORE BROKER DEALER CHIEF COMPLIANCE OFFICER | 5378090 |
| RUBENSTEIN, ARI M | CO-FOUNDER AND CHIEF EXECUTIVE OFFICER | 4134798 |
| TIRIOLO, CHRISTIAN JOHN | FINOP, CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER | 3063877 |
Disclosures
| Regulatory Event | 38 |
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.
