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Michael L. Marino

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CRD#: 5292846
MM

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.

Michael Lawrence Marino was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2009. Michael had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

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

February 1, 2018 - September 30, 2024

WELLINGTON FUNDS DISTRIBUTORS INC.

BD
CRD#: 152768
BOSTON, MA
Past

August 13, 2014 - January 24, 2018

MFS FUND DISTRIBUTORS, INC.

BD
CRD#: 31052
BOSTON, MA
Past

December 22, 2009 - July 30, 2014

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
BOSTON, MA

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: 2/1/2010
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: 12/21/2009
General Securities Representative Examination

Current Firm

WF
WELLINGTON FUNDS DISTRIBUTORS INC.
WELLINGTON FUNDS DISTRIBUTORS INC. | WELLINGTON MANAGEMENT ADVISERS, INC

CRD#: 152768 / SEC#: , 8-68476

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

Main Address
280 Congress Street, Boston, MA 02210
Mailing Address
280 Congress Street, Boston, MA 02210
Phone number
(617) 951-5000
Established
Delaware since 10/29/2009
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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#
WELLINGTON MANAGEMENT FUNDS HOLDINGS LLPHOLDING COMPANY
COYNE, LAURA ANN ESQ.DIRECTOR7053320
GEORGE, JEFFREY BRIANDIRECTOR8180600
HAVLICEK, DESMOND ANTHONYDIRECTOR2843267
MACKENZIE, BRENDAN MICHAELDIRECTOR5051963
MARTIN, SARA ANNCHIEF LEGAL OFFICER7469775
MILLEN, SARAH MACKTEZCHIEF FINANCIAL OFFICER7116565
SHANNON, MARY KEHOEDIRECTOR6439388
SHANNON, MARY KEHOEPRESIDENT6439388
WILLIAMS, ASHLEY LEIGHCHIEF COMPLIANCE OFFICER5498874

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

WELLINGTON FUNDS DISTRIBUTORS INC.

CRD#: 152768

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