Joseph Sorbara
Professional summary
Joseph Sorbara was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Joseph had worked at 6 firms, which includes JOSEPH STEVENS & CO. INC., A.S. GOLDMEN & CO. INC., D. H. BLAIR & CO. INC., LEHMAN BROTHERS KUHN LOEB INCORPORATED, LEHMAN BROTHERS INC., J.P. MORGAN SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 1994 - June 20, 2008
JOSEPH STEVENS & CO., INC.
August 16, 1991 - May 2, 1994
A.S. GOLDMEN & CO., INC.
January 9, 1985 - August 16, 1991
D. H. BLAIR & CO., INC.
March 26, 1984 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
November 22, 1982 - March 23, 1984
LEHMAN BROTHERS INC.
October 12, 1982 - February 20, 1985
LEHMAN BROTHERS INC.
August 22, 1981 - October 20, 1982
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
JOSEPH STEVENS & CO., INC.
CRD#: 35459 / SEC#: , 8-46901
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 10 |
Red Flags
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