Articles Tagged with Thomas Marino

Thomas MarinoPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that Florida-based RM Stark & Company broker Thomas Marino has received resolved or pending customer complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Marino (CRD# 4438533).

Thomas Marino has spent 17 years in the securities industry and has been registered with RM Stark & Company in Delray Beach, Florida since 2012. Previous registrations include JW Cole Financial in Sarasota, Florida (2009-2012); Newbridge Securities in Boca Raton, Florida (2009); Summit Brokerage Services in West Palm Beach, Florida (2008-2009); Morgan Stanley & Company in Sarasota, Florida (2007-2008); Morgan Stanley DW in Sarasota, Florida (2005-2007); and AG Edwards & Sons in St. Louis, Missouri (2001-2005). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 2, 2001; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on October 3, 2001; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on December 9, 2005. He is a registered broker with four US states: California, Florida, New Jersey, and New York.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one denied customer complaint, and he resigned from a former employer in connection to alleged rule violations.