Mario L. Clemente
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 Louis Clemente, who also goes by Mario Clemente, was a registered financial professional .
Mario is a previously registered financial professional and started their career in finance in 1997. Mario had worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2014 - October 2, 2023
INVESCO DISTRIBUTORS, INC.
February 19, 2013 - January 13, 2014
MARV CAPITAL INC.
April 18, 2012 - August 7, 2012
WINDSOR STREET CAPITAL, LP
October 1, 2010 - January 12, 2012
ATLAS ONE FINANCIAL GROUP, LLC
February 8, 2010 - May 3, 2010
ATLAS ONE FINANCIAL GROUP, LLC
June 25, 2007 - June 23, 2008
CITIGROUP GLOBAL MARKETS INC.
May 16, 2006 - March 27, 2007
NATIXIS SECURITIES NORTH AMERICA INC.
March 20, 2001 - July 18, 2006
BANC OF AMERICA SECURITIES LLC
June 14, 2000 - September 15, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 14, 1999 - July 22, 1999
SCHONFELD SECURITIES, LLC
May 27, 1998 - December 16, 1998
CENTENNIAL VENTURES, LTD.
September 8, 1997 - June 12, 1998
JPMSI
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: 8/3/1998
Limited Representative-Equity Trader ExamCurrent Firm
INVESCO DISTRIBUTORS, INC.
CRD#: 7369 / SEC#: , 8-21323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | DIRECT OWNER | |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARRIS, JERRY CLINTON II | DIRECTOR | 3275064 |
| KRAMER, BRIAN KEITH | DIRECTOR | 4132102 |
| MCDONOUGH, JOHN CARLIN | PRESIDENT/CEO/DIRECTOR | 2363299 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 3 |
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.
