Marc J. Sabo
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.
Marc Joseph Sabo, who also goes by Marc Sabo, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1998. Marc had worked at 3 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 25, Series 14 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
August 26, 2010 - March 29, 2022
FARINA & ASSOCIATES, INC.
October 1, 2000 - September 23, 2010
DRIVEWEALTH INSTITUTIONAL LLC
February 12, 1998 - July 21, 1998
GKN SECURITIES CORP.
State Registrations and Notice Filings
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 5/14/2007
Limited Representative-Equity Trader ExamSeries 25
Date: 4/14/1999
NYSE Trading Assistant ExaminationCurrent Firm
FARINA & ASSOCIATES, INC.
CRD#: 32830 / SEC#: , 8-41953
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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