Mario Moretto
Professional Summary
Mario Moretto is a registered financial advisor currently at AMERICAN CAPITAL PARTNERS, LLC located in Hauppauge, New York. Mario is registered as a RR (Registered Representative) and started their career in finance in 1997. Mario has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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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
29 years in the financial services industry
Current & Past Employments
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Current Firm
ACP INVESTMENTS, LLC | AMERICAN CAPITAL PARTNERS, LLC
Contact Information
Main Address
205 Oser Ave., Hauppauge, NY 11788Mailing Address
205 Oser Ave., Hauppauge, NY 11788Phone Number
(631) 851-0918Established
New York since 12/21/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
2Arbitration
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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
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1997About the Series 6 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Mario Moretto's CRS (Customer Relationship Summary).
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