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Nicholas Matthew Mascio

Marex Capital Markets Inc.

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About Nicholas Matthew Mascio

Nicholas Mascio is a financial professional with over 30 years of experience in the industry. He has held positions with several firms including MF Global Inc., Refco Securities, LLC, Exco RMJ International Inc., and Euro Brokers Maxcor Inc. Currently, Nicholas is registered with Marex Capital Markets Inc.

Firm Information

Nicholas Mascio is currently registered with Marex Capital Markets Inc.. Marex Capital Markets Inc. is a Corporation formed in 1952 and approved for operations in all 50 states, the District of Columbia, and Puerto Rico. The firm has an active SEC registration and has reported 42 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

71

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Nicholas Mascio’s Registration & Firm History

NY

02/20/2013 - Present

Marex Capital Markets Inc. (NEW YORK NY)

NY

01/12/2006 - 12/12/2011

MF GLOBAL INC. (NEW YORK NY)

NY

05/13/1998 - 12/31/2005

REFCO SECURITIES, LLC (NEW YORK NY)

NA

12/16/1997 - 04/28/1998

EXCO RMJ INTERNATIONAL INC.

NY

12/16/1997 - 04/28/1998

EXCO USA SECURITIES INC. (NEW YORK NY)

NY

01/01/1990 - 10/06/1997

EURO BROKERS MAXCOR INC. (NEW YORK NY)

NA

07/25/1987 - 12/20/1988

CARROLL MCENTEE & MCGINLEY INCORPORATED

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Licenses & Designations

BC

Issued 04/16/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/03/1998

Series 24 - General Securities Principal Examination

BC

Issued 04/16/1992

Series 4 - Registered Options Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/12/1999

Series 3 - National Commodity Futures Examination

BC

Issued 03/10/1992

Series 7 - General Securities Representative Examination

BC

Issued 10/16/1989

Series 15 - Foreign Currency Options Examination

BC

Issued 10/16/1989

Series 5 - Interest Rate Options Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Nicholas Matthew Mascio. Review regulatory record here.
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