Michael C. Marino
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 Charles Marino, who also goes by Michael Charles Marino, Michael Marino, Mike Marino, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2010. Michael had worked at 8 firms and has passed the Series 65, Series 63, Series 50, SIE, Series 7 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
February 8, 2021 - March 28, 2025
PTMA INVESTMENT ADVISORS
February 1, 2021 - March 28, 2025
PMA SECURITIES, LLC
November 13, 2019 - January 29, 2021
RBC CAPITAL MARKETS, LLC
November 7, 2019 - January 29, 2021
RBC CAPITAL MARKETS, LLC
November 12, 2014 - November 8, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 11, 2014 - November 8, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 23, 2013 - October 23, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 9, 2013 - October 23, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 1, 2013 - May 29, 2013
WELLS FARGO CLEARING SERVICES, LLC
February 1, 2013 - May 29, 2013
WELLS FARGO CLEARING SERVICES, LLC
June 30, 2011 - October 4, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 8, 2011 - October 4, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 13, 2010 - April 11, 2011
DAVID LERNER ASSOCIATES, INC.
Primary Firm SEC Registration
PTMA INVESTMENT ADVISORS
CRD#: 301973 / SEC#: 801-115313
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
PTMA INVESTMENT ADVISORS
CRD#: 301973 / SEC#: 801-115313
Contact information
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 504 |
| AUM (Assets Under Management) | $ 27,791,353,702 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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