Stephen M. Mascaro

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CRD#: 4478337

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.

Stephen Michael Mascaro was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 2001. Stephen had worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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

January 15, 2008 - December 31, 2018

FEDERATED SECURITIES CORP.

CRD#: 5009

WARRENDALE, PA

Past

December 5, 2006 - November 7, 2007

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PITTSBURGH, PA

Past

November 12, 2003 - August 17, 2006

NATCITY INVESTMENTS, INC.

CRD#: 17490

PITTSBURGH, PA

Past

November 28, 2001 - June 24, 2003

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FEDERATED SECURITIES CORP.

CRD#: 5009 / SEC#: 801-70438, 8-15561

RIA

Registered Investment Advisory firm - SEC (8/17/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/7/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/27/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/16/2014

Investment Company Products/Variable Contracts Principal Examination

Current Firm

FEDERATED SECURITIES CORP.

CRD#: 5009 / SEC#: 801-70438, 8-15561

RIA

Registered Investment Advisory firm - SEC (8/17/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

1001 Liberty Avenue, Pittsburgh, PA 15222-3779

Mailing Address

1001 Liberty Avenue, Pittsburgh, PA 15222-3779

Phone number

(412) 288-1900

Established

Pennsylvania since 11/14/1969

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

300

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
FII HOLDINGS, INC.	OWNER
ARONSOHN, JEFF DAVIS JR	COMPLIANCE OFFICER	5414359
BURKE, BRYAN MARKHAM	EXECUTIVE VICE PRESIDENT	2659959
DONAHUE, THOMAS ROBERT	EXECUTIVE VICE PRESIDENT AND DIRECTOR	2766434
EISENBRANDT, PETER WILLIAM	EXECUTIVE VICE PRESIDENT	1676319
FAVERO, AUTUMN LYNN	ASSISTANT TREASURER, FINANCIAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER	7844158
GERMAIN, PETER JOSEPH	DIRECTOR/VICE PRESIDENT	4152014
MOORE, KARY ANNE	SECRETARY	5989808
NOVAK, RICHARD ANTHONY	TREASURER	2901271
RONAYNE, BRIAN SEAN	EXECUTIVE VICE PRESIDENT	2158279
SENCHAK, FRANK CARL	DIRECTOR	6683477
UHLMAN, PAUL ADAM	DIRECTOR AND PRESIDENT	2043674
VAN METER, STEPHEN PAUL	CHIEF COMPLIANCE OFFICER	6020413

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Stephen M. Mascaro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PNC WEALTH MANAGEMENT LLC

NATCITY INVESTMENTS, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

FEDERATED SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/7/2001

SIE

Date: 10/1/2018

Series 6

Date: 11/27/2001

Series 26

Date: 12/16/2014

Current Firm

FEDERATED SECURITIES CORP.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FEDERATED SECURITIES CORP.

TRUST BUT VERIFY

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