MG
Mario J. Giammarco Jr
HEROLD ADVISORS
New York, NY 10022-7513
Some features on this profile are disabled
CRD#: 5244296
MG
Professional summary
Mario John Giammarco Jr, who also goes by Mario J Giammarco Jr, is a registered financial advisor currently at HEROLD ADVISORS, INC. located in New York, New York and HEROLD & LANTERN INVESTMENTS, INC. located in Staten Island, New York.
Mario is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Mario has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mario J Giammarco Jr
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.
1) HEROLD INSURANCE AGENCY, INC. 1190 HYLAN BLVD., STATEN ISLAND, NY 10305. NOT INVESTMENT RELATED. BROKER SINCE 12/2012. 30-40 HOURS PER MONTH, 10-20 HOURS OF WHICH ARE DURING SECURITIES TRADING HOURS. INSURANCE SALES AND SERVICE.
2) GIAMMARCO PLANNING ASSOCIATES. INVESTMENT RELATED. 37 CIRCLE ROAD, STATEN ISLAND, NY 10304. FINANCIAL PLANNING. ASSOCIATE FROM 1/2012. APPROX. 10-20 HRS/MONTH DEVOTED TO THIS BUSINESS, 5-10 OF WHICH ARE DURING SECURITIES TRADING HOURS. MARKETING, RESEARCH , ADMINSTRATION.
3) GIAMMARCO LAW. NON-INVESTMENT RELATED. 37 CIRCLE ROAD, STATEN ISLAND, NY 10304. ATTORNEY/OWNER FROM 12/2012. APPROX. 5-10 HRS/MONTH DEVOTED TO THIS BUSINESS, NONE OF WHICH ARE DURING SECURITIES TRADING HOURS. LEGAL SERVICES/ATTORNEY.
4) Herold Advisors Inc. 805 Third Ave., NY, NY 10022. Investment Advisor firm. Advisor since 01/2017. 20-30 hrs. pr. month devoted to this, 10-20 of which are during securities trading hours. Duties: Investment management.
5) Law office of Angela R. Giammarco, P.C. 1190 Hylan Blvd, 1st Floor Staten Island, NY 10305. Since 09/2020; 10-20 hours/month of which 5-10 hours are during trading hours. Legal Services. Not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Mario John Giammarco Jr'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
October 13, 2020 - Present
HEROLD ADVISORS, INC.
Office #1: 845 Third Avene Suite 1703, New York, NY 10022-7513RIA
CRD#: 105090
New York, NY
Current
November 2, 2020 - Present
HEROLD & LANTERN INVESTMENTS, INC.
Office #1: 1190 Hylan Blvd, Staten Island, NY 10305BD
CRD#: 30996
Staten Island, NY
Past
July 24, 2015 - November 5, 2020
BERNARD HEROLD & CO., INC.
BD
CRD#: 6193
STATEN ISLAND, NY
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".
HA
HEROLD ADVISORS, INC.
HEROLD ADVISORS, INC.
CRD#: 105090 / SEC#: 801-11216
RIA
Registered Investment Advisory firm - (1/2/1976 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(3/20/2024)
RR
Florida(11/2/2020)
RR
Indiana(1/3/2022)
RR
Massachusetts(7/27/2021)
RR
Minnesota(11/2/2020)
RR
New Jersey(11/2/2020)
RR
New York(11/2/2020)
IAR
New York(6/30/2022)
RR
Pennsylvania(1/4/2022)
RR
South Carolina(12/16/2020)
RR
Texas(9/23/2021)
RR
Virginia(7/25/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HA
HEROLD ADVISORS, INC.
HEROLD ADVISORS, INC.
CRD#: 105090 / SEC#: 801-11216
RIA
Registered Investment Advisory firm - (1/2/1976 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
845 Third Avene Suite 1703, New York, NY 10022-7513
Mailing Address
Phone number
(212) 371-3950
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 523 |
| AUM (Assets Under Management) | $ 489,697,335 |
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.
