MG
Mark Garofalo
CURVATURE SECURITIES LLC
Chatham, NJ 07928
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CRD#: 6522243
MG
Professional summary
Mark Garofalo is a registered financial professional currently at CURVATURE SECURITIES LLC located in Chatham, New Jersey.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2019. Mark has worked at 1 firm and has passed the Series 63, Series 7TO, Series 99TO and SIE exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Mark Garofalo'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
May 23, 2019 - Present
CURVATURE SECURITIES LLC
Office #1: 39 Main Street, Chatham, NJ 07928BD
CRD#: 169708
Chatham, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(9/20/2021)
RR
California(9/20/2021)
RR
Connecticut(9/20/2021)
RR
Florida(9/20/2021)
RR
Illinois(9/20/2021)
RR
Kansas(3/1/2023)
RR
Maryland(9/20/2021)
RR
Massachusetts(9/20/2021)
RR
Minnesota(9/20/2021)
RR
Missouri(9/20/2021)
RR
Nevada(9/20/2021)
RR
New Jersey(9/20/2021)
RR
New York(9/20/2021)
RR
North Carolina(9/20/2021)
RR
Pennsylvania(9/20/2021)
RR
Texas(9/20/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/5/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 5/23/2019
Operations Professional ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
CS
CURVATURE SECURITIES LLC
CURVATURE SECURITIES LLC
CRD#: 169708 / SEC#: , 8-69384
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
39 Main Street, Chatham, NJ 07928
Mailing Address
39 Main Street, Chatham, NJ 07928
Phone number
(908) 304-9200
Established
Delaware since 09/14/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
