AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MM

Mario Milio

SHEARMAN, RALSTON
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 7370319
MM

Professional summary

Mario Milio is a registered financial professional currently at SHEARMAN, RALSTON INC. located in Greenwich, Connecticut.

Mario is registered as a RR (Registered Representative) and started their career in finance in 2021. Mario has worked at 1 firm and has passed the Series 63, Series 99TO, Series 7TO and SIE 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 Mario Milio's CRS (Customer Relationship Summary).
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

December 17, 2021 - Present

SHEARMAN, RALSTON INC.

Office #1: 333 Greenwich Avenue, Greenwich, CT 06830
RIA
BD
CRD#: 7320
Greenwich, CT

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
Connecticut
(4/8/2022)
RR
New Jersey
(4/8/2022)
RR
New York
(4/8/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 4/8/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 2/18/2025
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/17/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/16/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

SR
SHEARMAN, RALSTON INC.
SHEARMAN, RALSTON INC.

CRD#: 7320 / SEC#: , 8-21190

Connecticut
Registered Investment Advisory firm - SEC (6/22/2018 Approved)
Georgia
Registered Investment Advisory firm - SEC (7/7/2023 Approved)
Louisiana
Registered Investment Advisory firm - SEC (6/23/2025 Approved)
New York
Registered Investment Advisory firm - SEC (4/3/2025 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
333 Greenwich Avenue, Greenwich, CT 06830
Mailing Address
333 Greenwich Avenue, Greenwich, CT 06830
Phone number
(203) 489-3902
Established
New York since 10/15/1976
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
4

FINRA licenses (6 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
RALSTON, DOUGLAS PAULPRESIDENT, CEO, FINOP OF BD370414
JAFFESS, BARBARA LYNNNON-CONTROL OWNER861641
RALSTON, NATHANIEL LOUISVICE PRESIDENT, COO CFO CCO OF BD, CCO OF RIA6076209
SULLIVAN, DANIEL AVICE PRESIDENT OF BD707476

Regulatory assets under management

Total Number of Accounts42
AUM (Assets Under Management)$ 97,678,492

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

SHEARMAN, RALSTON INC.

CRD#: 7320Greenwich, CT 06830

TRUST BUT VERIFY

Monitor Mario Milio

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Brian Joseph Marchini
Brian MarchiniAdvisorCheck Check Mark
LPL ENTERPRISE, LLC
IAR
RR
White Plains, NY
Jason Matthew Gilbert
Jason GilbertAdvisorCheck Check Mark
RGA INVESTMENT ADVISORS, LLC
IAR
Great Neck, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.