Marcus A. Mongiello
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.
Marcus Anthony Mongiello was a registered financial professional .
Marcus is a previously registered financial professional and started their career in finance in 2007. Marcus had worked at 8 firms and has passed the Series 63, Series 65, Series 7, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2015 - August 17, 2016
CAPITAL ONE INVESTING, LLC
January 28, 2015 - August 17, 2016
CAPITAL ONE ADVISORS, LLC
May 25, 2011 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
May 25, 2011 - January 30, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
January 4, 2010 - September 10, 2010
PAULSON INVESTMENT COMPANY LLC
January 4, 2010 - September 10, 2010
PAULSON INVESTMENT COMPANY LLC
August 4, 2008 - January 13, 2010
GUNNALLEN FINANCIAL, INC
August 4, 2008 - January 13, 2010
GUNNALLEN FINANCIAL, INC
June 19, 2008 - July 1, 2008
OSAIC FA, INC.
June 19, 2008 - July 1, 2008
OSAIC FA, INC.
October 9, 2007 - February 19, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
CAPITAL ONE INVESTING, LLC
CRD#: 45744 / SEC#: , 8-51160
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL INVESTING, LLC | PARENT COMPANY & MEMBER | |
| BARBANO, LYNLEY ESTELLE | PRINCIPAL OPERATIONS OFFICER | 2239052 |
| COMO, MONALISA RAASS | PRESIDENT & CHIEF OPERATING OFFICER | 2536504 |
| CONSTANTINO, KRISTEN DANIELLE | CHIEF COMPLIANCE OFFICER | 3001473 |
| MARTIN, ALEX MICHAEL | FINANCIAL & OPERATIONS PRINCIPAL / PRINCIPAL FINANCIAL OFFICER | 5639666 |
Disclosures
| Regulatory Event | 3 |
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.
