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Marc Marino

Marc Marino

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CRD#: 4192552
Marc Marino

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 Marino was a registered financial professional .

Marc is a previously registered financial professional and started their career in finance in 2000. Marc had worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 14, 2024 - December 12, 2025

VANDERBILT SECURITIES, LLC

BD
CRD#: 5953
Tampa, FL
Past

July 25, 2018 - October 31, 2024

EDWARD JONES

RIA
CRD#: 250
TAMPA, FL
Past

July 13, 2018 - October 31, 2024

EDWARD JONES

BD
CRD#: 250
TAMPA, FL
Past

September 13, 2016 - July 18, 2018

SOVEREIGN GLOBAL ADVISORS LLC

RIA
CRD#: 167663
MELVILLE, NY
Past

May 29, 2014 - July 18, 2018

SOVEREIGN GLOBAL ADVISORS LLC

BD
CRD#: 167663
MELVILLE, NY
Past

October 12, 2009 - June 5, 2014

SAXONY SECURITIES, INC.

BD
CRD#: 115547
ST. LOUIS, MO
Past

March 1, 2007 - October 13, 2009

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
MELVILLE, NY
Past

May 10, 2002 - March 1, 2007

CAPITAL SECURITIES OF AMERICA, INC.

BD
CRD#: 36405
MELVILLE, NY
Past

January 23, 2002 - May 4, 2002

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

July 3, 2000 - February 12, 2002

SEABOARD SECURITIES, INC.

BD
CRD#: 755
FLORHAM PARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/28/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/28/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/1/2000
General Securities Representative Examination

Current Firm

VS
VANDERBILT SECURITIES, LLC
RICHARDT-ALYN & CO. | VANDERBILT SECURITIES, LLC | VANDERBILT SECURITIES

CRD#: 5953 / SEC#: , 8-16712

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
125 Froehlich Farm Blvd., Woodbury, NY 11797
Mailing Address
125 Froehlich Farm Blvd., Woodbury, NY 11797
Phone number
(631) 845-5100
Established
New York since 12/05/2001
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VANDERBILT CAPITAL, LLCSOLE OWNER
ANTENOR, JR, DANIELCHIEF OPERATIONS OFFICER/OPTIONS/MUNI5839052
DISTANTE, STEPHEN ALFREDCEO - LIMITED PARTNER2206574
PLAPP, MEGAN LYNNFINOP, POO, PFO, CFO6790596
THOMAS, MICHELLE DENISECHIEF COMPLIANCE OFFICER2210435
TRIFILETTI, JOSEPH JOHNPRESIDENT5295897

Disclosures

Regulatory Event5
Arbitration1

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.

Company Information

VANDERBILT SECURITIES, LLC

CRD#: 5953

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