Mario Moretto
Professional summary
Mario Moretto is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mario Moretto's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 4, 2016 - Present
AMERICAN CAPITAL PARTNERS, LLC
Office #1: 205 Oser Ave, Hauppauge, NY 11788August 3, 2011 - January 22, 2016
STEELPOINT SECURITIES, LLC
February 22, 2002 - September 30, 2011
WBB SECURITIES, LLC
August 10, 2001 - February 22, 2002
PACIFIC AMERICAN SECURITIES, LLC
July 24, 1997 - August 30, 2001
VANGUARD CAPITAL
July 15, 1997 - July 25, 1997
AMERICAN INVESTMENT SERVICES, 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
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq Stock Market
Current Firm
AMERICAN CAPITAL PARTNERS, LLC
CRD#: 119249 / SEC#: , 8-65165
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
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