Maurizio Pane
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.
Maurizio Pane, who also goes by Mario Pane, was a registered financial professional .
Maurizio is a previously registered financial professional and started their career in finance in 2000. Maurizio had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 4, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2016 - January 28, 2020
SNOWDEN CAPITAL ADVISORS LLC
March 9, 2016 - January 28, 2020
SNOWDEN ACCOUNT SERVICES LLC
February 6, 2014 - March 30, 2016
MORGAN STANLEY
March 31, 2010 - December 31, 2010
MORGAN STANLEY
March 4, 2010 - March 30, 2016
MORGAN STANLEY
October 25, 2000 - February 16, 2010
TD AMERITRADE, INC.
May 8, 2000 - April 5, 2001
PARK AVENUE SECURITIES LLC
Primary Firm SEC Registration
SNOWDEN CAPITAL ADVISORS LLC
CRD#: 157299 / SEC#: 801-72332
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
Current Firm
SNOWDEN CAPITAL ADVISORS LLC
CRD#: 157299 / SEC#: 801-72332
Contact information
SEC notice filing (47 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,968 |
| AUM (Assets Under Management) | $ 7,554,762,347 |
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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