Mario A. Lopresti
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 Angelo Lopresti was a registered financial professional .
Mario is a previously registered financial professional and started their career in finance in 2001. Mario had worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, 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
July 26, 2022 - June 6, 2025
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
September 20, 2013 - November 15, 2021
MIZUHO SECURITIES USA LLC
March 30, 2012 - September 16, 2013
BNY MELLON CAPITAL MARKETS, LLC
July 8, 2010 - April 3, 2012
PERSHING LLC
February 2, 2010 - July 8, 2010
BCP SECURITIES, INC.
August 3, 2006 - March 3, 2008
BBVA SECURITIES INC.
June 9, 2004 - July 21, 2006
CREDIT SUISSE SECURITIES (USA) LLC
December 19, 2002 - May 26, 2004
PREBON FINANCIAL PRODUCTS INC.
April 4, 2001 - January 22, 2002
GOLDMAN SACHS & 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/7/2001
Limited Representative-Equity Trader ExamCurrent Firm
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
CRD#: 130847 / SEC#: , 8-66397
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANDARD CHARTERED HOLDINGS INC. | OWNER | |
| DEFILIPPO, MANDY J | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7184614 |
| HAUSCHILD, AUGUST DANIEL | ANTI MONEY LAUNDERING COMPLIANCE OFFICER | 4287421 |
| JONES, PAUL FAULKNER | CHIEF RISK OFFICER | 7630280 |
| NIELSEN, PETER | FINANCIAL AND OPERATIONS PRINCIPAL | 1072259 |
| PAULIC, JACINTA | CHIEF COMPLIANCE OFFICER, HEAD, CFCC ADVISORY FM AMERICAS | 5823367 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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