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Thomas J. Marino

Some features on this profile are disabled
CRD#: 4438533
TM

Professional summary

Thomas John Marino was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial advisor and started their career in finance in 2001. Prior to being barred, Thomas had worked at 7 firms, which includes R.M. STARK & CO. INC., J.W. COLE FINANCIAL INC., NEWBRIDGE SECURITIES CORPORATION, SUMMIT BROKERAGE SERVICES INC., MORGAN STANLEY & CO. LLC, MORGAN STANLEY DW INC., A. G. EDWARDS & SONS INC..

top-8-questions

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

December 12, 2012 - June 11, 2019

R.M. STARK & CO., INC.

BD
CRD#: 7612
LAKE WORTH BEACH, FL
Past

November 19, 2009 - August 24, 2012

J.W. COLE FINANCIAL, INC.

BD
CRD#: 124583
SARASOTA, FL
Past

November 11, 2009 - November 13, 2009

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
BOCA RATON, FL
Past

May 23, 2008 - November 12, 2009

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
WEST PALM BEACH, FL
Past

April 2, 2007 - February 8, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
SARASOTA, FL
Past

April 2, 2007 - February 8, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
SARASOTA, FL
Past

July 12, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
SARASOTA, FL
Past

July 8, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
SARASOTA, FL
Past

October 8, 2001 - July 13, 2005

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
WEST PALM BEACH, FL
Past

October 4, 2001 - July 13, 2005

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO

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
Series 63
Date: 12/1/2001
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: 10/3/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/9/2005
General Securities Sales Supervisor - Options Module Examination

Current Firm

RS
R.M. STARK & CO., INC.
R.M. STARK & CO., INC. | RM STARK & CO INC.

CRD#: 7612 / SEC#: , 8-22543

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

Main Address
730 S Federal Hwy, Lake Worth Beach, FL 33460-4955
Mailing Address
730 S Federal Hwy, Lake Worth Beach, FL 33460-4955
Phone number
(561) 243-3815
Established
Florida since 09/29/1988
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (45 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#
RMST HOLDING COMPANY, INC.OWNER
MCTAGUE, ROBIN JAYNECHIEF COMPLIANCE OFFICER1438670
STARK, GARY LESTERCEO433866
STARK, GARY LESTERFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, MUNICIPAL SECURITIES PRINCIPAL, REGISTERED OPTIONS PRINCIPAL433866

Disclosures

Regulatory Event4

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

R.M. STARK & CO., INC.

CRD#: 7612

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