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Don-mario Oved Saint-paul

CRD# 5467633·Registered 2008 - 2012
Previously Registered: Being a previously registered professional could mean that Don-mario 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.

Professional Summary

Don-mario Oved Saint-paul, who also goes by Don Martin, Don Mario Saint Paul, was a registered financial advisor. Don-mario was a previously registered financial professional and started their career in finance 2008 - 2012. Don-mario had worked at 3 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Don Martin, Don Mario Saint Paul

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

18 years in the financial services industry

Current & Past Employments

ROCKWELL GLOBAL CAPITAL LLC·CRD# 142485
BD
Farmingdale, NY
May 21, 2010 - November 19, 2012
JHS CAPITAL ADVISORS, LLC·CRD# 112097
BD
Bethpage, NY
July 14, 2008 - May 21, 2010
WOODSTOCK FINANCIAL GROUP, INC.·CRD# 38095
BD
Garden City, NY
March 14, 2008 - July 8, 2008

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Current Firm

RG
ROCKWELL GLOBAL CAPITAL LLC

ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485 / SEC#: 8-67467
BD
Terminated by SEC on 02/14/2016

Contact Information

Established

New York since 12/21/2005

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
GUARINO, BRUCE JUDEOPERATING OFFICER1096719
GUARINO, DOUGLAS JOSEPHCCO1771389

Disclosures

Regulatory Event

1

Arbitration

7

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 2008About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 2008About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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