Joseph Marino, financial advisor North Haven CT
68 score

Joseph Marino

CRD Number: 1094341
Current Firm: Kms Financial Services, Inc.

Joseph Marino (CRD# 1094341) is an Investment Advisor Representative working at Kms Financial Services, Inc. in North Haven, CT and has over 21 years of experience in the finance industry.

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Company Name Location Dates Years
Kms Financial Services, Inc. Seattle, WA Nov 2016 - Current 1
Primary Residential Mortgage North Haven, CT Aug 2002 - Current 15
Smms Class North Haven, CT Jan 1999 - Current 19
Success Education Consultants North Haven, CT Apr 1997 - Current 21
Northwestern National Life Insurance Com Minneapolis, MN Mar 1994 - Current 24
Voya Financial Advisors, Inc. North Haven, CT Sep 2014 - Nov 2016 2
Ing Financial Partners, Inc. North Haven, CT Jan 2004 - Aug 2014 10
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 2001
S65 NASAA Investment Advisors Law Examination Feb 1997
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Joseph S. Marino
Phone Number: [206]441-2885
Registered State(s):
  • CT
  • SC
By the Numbers
  • Total Assets Under Management
    6,793
    MILLIONS
  • Total Number of Accounts
    26,740
    ACCOUNTS
  • Average Account Value
    $254,039
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Market timing services
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
68

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