MV
Mario B. Virtudes
COMMONFUND SECURITIES
Darien, CT 06820
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CRD#: 4797746
MV
Professional summary
Mario B Virtudes is a registered financial professional currently at COMMONFUND SECURITIES, INC. located in Darien, Connecticut.
Mario is registered as a RR (Registered Representative) and started their career in finance in 2004. Mario has worked at 4 firms and has passed the Series 63, Series 31, 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.
CRS (Client Relationship Summary) - BD
Click below to view Mario B Virtudes's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 3, 2018 - Present
COMMONFUND SECURITIES, INC.
Office #1: 9 Old Kings Highway South Suite 405, Darien, CT 06820BD
CRD#: 43541
Darien, CT
Past
May 6, 2013 - November 19, 2018
CAPITAL DYNAMICS BROKER DEALER LLC
BD
CRD#: 148780
NEW YORK, NY
Past
June 6, 2008 - February 6, 2013
COMMONFUND SECURITIES, INC.
BD
CRD#: 43541
WILTON, CT
Past
April 10, 2007 - June 9, 2008
SG AMERICAS SECURITIES, LLC
BD
CRD#: 128351
NEW YORK, NY
Past
September 8, 2004 - March 20, 2007
DEAM INVESTOR SERVICES, INC.
BD
CRD#: 754
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/19/2021)
RR
Alaska(4/19/2021)
RR
Arizona(12/3/2018)
RR
Arkansas(4/19/2021)
RR
California(4/19/2021)
RR
Colorado(4/19/2021)
RR
Connecticut(12/3/2018)
RR
Delaware(4/19/2021)
RR
District of Columbia(4/19/2021)
RR
Florida(12/3/2018)
RR
Georgia(4/19/2021)
RR
Hawaii(4/19/2021)
RR
Idaho(4/19/2021)
RR
Illinois(12/3/2018)
RR
Indiana(7/18/2019)
RR
Iowa(4/19/2021)
RR
Kansas(4/19/2021)
RR
Kentucky(7/17/2019)
RR
Louisiana(7/17/2019)
RR
Maine(4/19/2021)
RR
Maryland(4/19/2021)
RR
Massachusetts(4/19/2021)
RR
Michigan(12/3/2018)
RR
Minnesota(4/19/2021)
RR
Mississippi(4/19/2021)
RR
Missouri(12/3/2018)
RR
Montana(4/19/2021)
RR
Nebraska(4/19/2021)
RR
Nevada(12/3/2018)
RR
New Hampshire(4/19/2021)
RR
New Jersey(4/19/2021)
RR
New Mexico(4/19/2021)
RR
New York(12/3/2018)
RR
North Carolina(4/19/2021)
RR
North Dakota(4/19/2021)
RR
Ohio(12/3/2018)
RR
Oklahoma(12/3/2018)
RR
Oregon(4/19/2021)
RR
Pennsylvania(4/19/2021)
RR
Puerto Rico(4/19/2021)
RR
Rhode Island(7/17/2019)
RR
South Carolina(4/19/2021)
RR
South Dakota(4/19/2021)
RR
Tennessee(7/17/2019)
RR
Texas(12/3/2018)
RR
Utah(4/19/2021)
RR
Vermont(4/19/2021)
RR
Virgin Islands(4/19/2021)
RR
Virginia(4/19/2021)
RR
Washington(4/19/2021)
RR
West Virginia(4/19/2021)
RR
Wisconsin(12/3/2018)
RR
Wyoming(4/19/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
COMMONFUND SECURITIES, INC.
COMMONFUND SECURITIES, INC. | ENDOWMENT SERVICES, INC.
CRD#: 43541 / SEC#: , 8-50337
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
601 Merritt 7, Norwalk, CT 06851
Mailing Address
601 Merritt 7, Norwalk, CT 06851
Phone number
(203) 563-5000
Established
Delaware since 05/30/1997
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMONFUND HOLDING COMPANY, INC. | SHAREHOLDER | |
| BARD, NANCY KIERNAN | MANAGING DIRECTOR; MEMBER, BOARD OF DIRECTORS | 1324063 |
| CERASUOLO, VIOLETTA | CHIEF COMPLIANCE OFFICER | 5362546 |
| DURRELL, SUSAN KERR | MANAGING DIRECTOR; MEMBER, BOARD OF DIRECTORS | 2945336 |
| HARITON, ANITA LYNNE | PRESIDENT AND CHIEF EXECUTIVE OFFICER; CHAIR, BOARD OF DIRECTORS | 4104946 |
| SPONGBERG, JONATHAN D | TREASURER | 5521666 |
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.
