Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mario? Claim Your ProfileMario Farfan is a registered representative with Citigroup Global Markets Inc.. Mario has been working in the financial services industry since 2003 and has been with Citigroup Global Markets Inc. since 2015. Previously, Mario was registered with BANCWEST INVESTMENT SERVICES, INC. and Wedbush Securities Inc.. Mario has a strong track record of success in the financial services industry. Mario specializes in providing investment advice to high-net-worth individuals, corporations, and institutional clients. Mario holds a Series 66, Series 63, Series 4, Series 24, Series 99TO, Series SIE, and Series 7 license. Mario's firm offers a variety of investment services, including financial planning, portfolio management, asset allocation advice, and publication of periodicals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
NY
05/19/2015 - Present
Citigroup Global Markets Inc. (NEW YORK NY)
CA
04/08/2013 - 05/08/2015
BANCWEST INVESTMENT SERVICES, INC. (SACRAMENTO CA)
CA
03/12/2008 - 04/01/2013
WEDBUSH SECURITIES INC. (LOS ANGELES CA)
NJ
11/10/2003 - 09/25/2007
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
BOTH
Issued 08/16/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/14/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/10/2014
Series 4 - Registered Options Principal Examination
BC
Issued 11/22/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/07/2003
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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