MG
Mario J. Giammarco
HEROLD ADVISORS
New York, NY 10022-7513
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CRD#: 818779
MG
Professional summary
Mario John Giammarco is a registered financial advisor currently at HEROLD ADVISORS, INC. located in New York, New York and LANTERN WEALTH ADVISORS, LLC located in Staten Island, New York.
Mario is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Mario has worked at 6 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 9, Series 10, Series 4 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) HEROLD INSURANCE AGENCY, INC. NON INVESTMENT RELATED, 1190 HYLAN BLVD., STATEN ISLAND, NY 10305. PRESIDENT SINCE 1987. LIFE INSURANCE. APPROX. NUMBER OF HOURS/MONTH: 5 (ALL OF WHICH ARE DURING SECURITIES TRADING HOURS). SALES. 2)1190 HYLAN REALTY CO. NON INVESTMENT RELATED 1190 HYLAN BLVD., STATEN ISLAND, NY 10305. REAL ESTATE MANAGEMENT. OWNER SINCE 1992. APPROX. 5 HRS/MONTH DEVOTED TO THIS BUSINESS, NONE OF WHICH ARE DURING SECURITIES TRADING HOURS. REAL ESTATE MANAGEMENT. 3) Herold Advisors. Investment Related. Since 1992.1190 Hylan Blvd Staten Island NY 10305. Investment Advisor Representative. Approximately 80 hours/month devoted to this business. 4: Lantern Wealth Advisors. Investment Related. Investment Advisor Representative as of 02/2022. Located at 1190 Hylan Blvd Staten Island NY 10305. Approximately 10 hours/month devoted to this business
CRS (Client Relationship Summary) - RIA
Click below to view Mario John Giammarco'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
January 3, 2022 - Present
HEROLD ADVISORS, INC.
Office #1: 845 Third Avene Suite 1703, New York, NY 10022-7513RIA
CRD#: 105090
New York, NY
Current
February 7, 2022 - Present
LANTERN WEALTH ADVISORS, LLC
Office #1: 1190 Hylan Blvd, Staten Island, NY 10305RIA
CRD#: 147420
Staten Island, NY
Current
November 2, 2020 - Present
HEROLD & LANTERN INVESTMENTS, INC.
Office #1: 1190 Hylan Blvd, Staten Island, NY 10305BD
CRD#: 30996
Staten Island, NY
Past
March 25, 1985 - November 5, 2020
BERNARD HEROLD & CO., INC.
BD
CRD#: 6193
STATEN ISLAND, NY
Past
September 26, 1978 - March 6, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
March 2, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HA
HEROLD ADVISORS, INC.
HEROLD ADVISORS, INC.
CRD#: 105090 / SEC#: 801-11216
RIA
Registered Investment Advisory firm - (1/2/1976 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(1/13/2022)
RR
Connecticut(11/18/2020)
RR
Florida(11/2/2020)
RR
New Jersey(11/9/2020)
RR
New York(11/9/2020)
IAR
New York(1/3/2022)
RR
Pennsylvania(1/4/2022)
RR
South Carolina(1/6/2022)
RR
Texas(1/5/2022)
RR
Virginia(1/5/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/25/1985
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
HA
HEROLD ADVISORS, INC.
HEROLD ADVISORS, INC.
CRD#: 105090 / SEC#: 801-11216
RIA
Registered Investment Advisory firm - (1/2/1976 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
845 Third Avene Suite 1703, New York, NY 10022-7513
Mailing Address
Phone number
(212) 371-3950
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 523 |
| AUM (Assets Under Management) | $ 489,697,335 |
Red Flags
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