Mario John Giammarco Jr

Employer firm

Herold Advisors, Inc. CRD 105090

$540M regulatory AUM

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Herold Advisors, Inc.

711 3Rd Avenue Suite 1802, New York, NY 10017 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2026-04-09
NY	RA	APPROVED	2022-06-30

TX RA
APPROVED_RES

Since 2026-04-09
NY RA
APPROVED

Since 2022-06-30

Branch Locations

711 3Rd Avenue Suite 1802, New York, NY 10017 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Bernard Herold & Co., Inc.	Staten Island	NY	05/2005	11/2020
Herold Insurance Agency	Staten Island	NY	12/2012	Present
Walsh Electrical Contracting	Staten Island	NY	10/2013	06/2017
Herold & Lantern Investments, Inc.	Melville	NY	11/2020	Present
Herold Advisors, Inc.	New York	NY	06/2015	Present

05/2005 → 11/2020

Bernard Herold & Co., Inc.

Staten Island, NY
12/2012 → Present

Herold Insurance Agency

Staten Island, NY
10/2013 → 06/2017

Walsh Electrical Contracting

Staten Island, NY
11/2020 → Present

Herold & Lantern Investments, Inc.

Melville, NY
06/2015 → Present

Herold Advisors, Inc.

New York, NY

Other Businesses

1) HEROLD INSURANCE AGENCY, INC. 1190 HYLAN BLVD., STATEN ISLAND, NY 10305. NOT INVESTMENT RELATED. BROKER SINCE 12/2012. 30-40 HOURS PER MONTH, 10-20 HOURS OF WHICH ARE DURING SECURITIES TRADING HOURS. INSURANCE SALES AND SERVICE. 2) GIAMMARCO PLANNING ASSOCIATES. INVESTMENT RELATED. 37 CIRCLE ROAD, STATEN ISLAND, NY 10304. FINANCIAL PLANNING. ASSOCIATE FROM 1/2012. APPROX. 10-20 HRS/MONTH DEVOTED TO THIS BUSINESS, 5-10 OF WHICH ARE DURING SECURITIES TRADING HOURS. MARKETING, RESEARCH , ADMINSTRATION. 3) GIAMMARCO LAW. NON-INVESTMENT RELATED. 37 CIRCLE ROAD, STATEN ISLAND, NY 10304. ATTORNEY/OWNER FROM 12/2012. APPROX. 5-10 HRS/MONTH DEVOTED TO THIS BUSINESS, NONE OF WHICH ARE DURING SECURITIES TRADING HOURS. LEGAL SERVICES/ATTORNEY. 4) Herold Advisors Inc. 805 Third Ave., NY, NY 10022. Investment Advisor firm. Advisor since 01/2017. 20-30 hrs. pr. month devoted to this, 10-20 of which are during securities trading hours. Duties: Investment management. 5) Law office of Angela R. Giammarco, P.C. 1190 Hylan Blvd, 1st Floor Staten Island, NY 10305. Since 09/2020; 10-20 hours/month of which 5-10 hours are during trading hours. Legal Services. Not investment related.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-06-30
S63	Uniform Securities Agent State Law Examination	2015-09-02

S66 Uniform Combined State Law Examination

2022-06-30
S63 Uniform Securities Agent State Law Examination

2015-09-02

Other Names

Mario J Giammarco Jr

View on SEC IAPD