Maria Fini
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.
Maria Fini, who also goes by Maria Fiore, was a registered financial professional .
Maria is a previously registered financial professional and started their career in finance in 2004. Maria had worked at 14 firms and has passed the Series 28 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2011 - July 26, 2012
TIME EQUITIES SECURITIES LLC
October 19, 2011 - October 17, 2014
D/B/A PALAZZO
January 4, 2011 - November 10, 2014
KOTA GLOBAL SECURITIES INC.
August 17, 2010 - April 12, 2012
STAR MOUNTAIN ADVISORS, LLC
March 2, 2010 - October 27, 2011
THE NORTHSTAR GROUP, INC.
June 22, 2007 - March 27, 2008
CRC CAPITAL MARKETS LLC
December 2, 2005 - August 11, 2006
NEW HARBOR CAPITAL INC
November 22, 2005 - April 18, 2006
HAMILTON CAVANAUGH & ASSOCIATES, INC.
June 13, 2005 - September 14, 2005
GEMINI FINANCIAL CORPORATION
June 7, 2005 - August 2, 2006
REEF RESOURCES, LLC
May 23, 2005 - July 6, 2006
HUNTHILL CAPITAL, LLC
May 10, 2005 - March 25, 2008
BHARGAVA CAPITAL
April 19, 2005 - September 27, 2006
TAYLOR FINANCIAL SERVICES, LLC
January 1, 2005 - August 11, 2006
CHELA TECHNOLOGY PARTNERS, LLC
October 1, 2004 - January 31, 2006
THE NORTHSTAR GROUP, INC.
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
Series 28
Date: 9/30/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
TIME EQUITIES SECURITIES LLC
CRD#: 114422 / SEC#: , 8-53420
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
