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JM

Jeffrey C. Marino

D/B/A PALAZZO
New York, NY 10019
Some features on this profile are disabled
CRD#: 6800163
JM

Professional summary

Jeffrey Covert Marino is a registered financial professional currently at D/B/A PALAZZO located in New York, New York.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2017. Jeffrey has worked at 2 firms and has passed the Series 63, SIE and Series 79 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) - BD

Click below to view Jeffrey Covert Marino'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®
None

Experience

Current

October 1, 2019 - Present

D/B/A PALAZZO

Office #1: 145 West 57th Street 17th Floor, New York, NY 10019
BD
CRD#: 156378
New York, NY
Past

November 14, 2017 - August 20, 2019

DRAKE STAR SECURITIES LLC

BD
CRD#: 131338
NEW YORK, NY

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: 8/16/2017
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 79
Date: 11/14/2017
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DP
D/B/A PALAZZO
D/B/A PALAZZO | PALAZZO SECURITIES LLC

CRD#: 156378 / SEC#: , 8-68792

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

Main Address
145 West 57th Street 17th Floor, New York, NY 10019
Mailing Address
145 West 57th Street 17th Floor, New York, NY 10010
Phone number
(212) 402-9000
Established
New York since 01/10/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PA PALAZZO LLCSOLE MEMBER
PALAZZO, PHILIP A. JR.CEO, CCO, AML COMPLIANCE OFFICER, INVESTMENT BANKING MANAGER5885547
RANKEL, WILLIAM EDWINFINOP/CFO2074785

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

D/B/A PALAZZO

CRD#: 156378New York, NY 10019

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