Mario C. Pennisi
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.
Mario Carmine Pennisi was a registered financial professional .
Mario is a previously registered financial professional and started their career in finance in 1977. Mario had worked at 11 firms and has passed the Series 63, Series 3, Series 5, PC and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2013 - April 23, 2013
MAXIM GROUP LLC
March 13, 2009 - December 12, 2012
RBC CAPITAL MARKETS, LLC
July 1, 2003 - March 16, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 5, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
December 11, 1998 - January 7, 2000
KEYBANC CAPITAL MARKETS INC.
June 23, 1993 - September 25, 1998
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
May 25, 1982 - May 27, 1993
UBS FINANCIAL SERVICES INC.
October 31, 1980 - June 1, 1982
SALOMON BROTHERS INC.
March 8, 1979 - November 3, 1980
MORGAN STANLEY DW INC.
August 22, 1978 - January 22, 1979
UMIC, INC.
April 1, 1977 - February 20, 1978
BEVILL, BRESLER & SCHULMAN INCORPORATED
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
Series 5
Date: 10/21/1981
Interest Rate Options ExaminationPC
Date: 2/1/1979
AMEX Put and Call ExamSeries 40
Date: 3/28/1977
Registered Principal ExaminationCurrent Firm
MAXIM GROUP LLC
CRD#: 120708 / SEC#: , 8-65337
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAXIM PARTNERS LLC | MEMBER | |
| EVANS, TIPTON HAMLIN | CHIEF COMPLIANCE OFFICER | 6118339 |
| FIORE, CHRISTOPHER JAMES | CO-PRESIDENT, DIRECTOR OF CAPITAL MARKETS | 2269479 |
| GLASSBERG, LAWRENCE COOPER | CO-HEAD OF INVESTMENT BANKING | 4813201 |
| LAROSA, PAUL GEORGE | HEAD OF SYNDICATE/ACTING DIRECTOR OF ASSET MANAGEMENT | 1900695 |
| MESSINGER, MICHAEL SPENCER | MSP | 1403506 |
| MURPHY, TIMOTHY GERARD | FINOP/CFO | 1836629 |
| SIEGEL, JAMES EDWARD | GENERAL COUNSEL | 4490472 |
| TELLER, CLIFFORD ADAM | CHIEF EXECUTIVE OFFICER/CHAIRMAN | 4631188 |
| VEERA, RITESH MOTILAL | CO-HEAD OF INVESTMENT BANKING | 4994814 |
| VENDETTI, ANTHONY VINCENT | DIRECTOR OF RESEARCH | 2574608 |
| VITALE, WILLIAM CHRISTIAN | DIRECTOR OF TRADING | 2669953 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 1 |
Red Flags
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