Joseph P. Tuorto
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Paul Tuorto was a registered financial advisor .
Joseph is a previously registered financial advisor and started their career in finance in 1981. Joseph had worked at 5 firms and has passed the Series 63, Series 3, Series 5, Series 7, Series 14, Series 4, Series 12, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2009 - June 30, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
June 22, 2004 - September 13, 2004
MAIN STREET MANAGEMENT COMPANY
June 22, 2004 - January 4, 2005
MAIN STREET MANAGEMENT COMPANY
May 14, 2004 - June 30, 2010
LPL FINANCIAL LLC
March 9, 2004 - June 30, 2010
LPL FINANCIAL LLC
September 4, 1999 - September 25, 1999
RONEY & CO.
July 11, 1983 - March 25, 2004
RAYMOND JAMES & ASSOCIATES, INC.
September 24, 1981 - March 25, 2004
RAYMOND JAMES & ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/31/1986
Interest Rate Options ExaminationSeries 12
Date: 5/25/1983
NYSE Branch Manager ExaminationCurrent Firm
UVEST FINANCIAL SERVICES GROUP, INC.
CRD#: 13787 / SEC#: 801-47970, 8-28549
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | PARENT COMPANY | |
| ARNOLD, DAN HOGAN JR | MANAGING DIRECTOR, HEAD OF STRATEGY | 2557410 |
| CASADY, MARK STEPHEN | CHAIRMAN OF THE BOARD | 2313239 |
| DWYER, WILLIAM EDWARD III | MANAGING DIRECTOR, PRESIDENT, NATIONAL SALES & MARKETING | 1274680 |
| LANK, STEPHEN | SVP OPERATIONS | 2997028 |
| MCDERMOTT, JOHN JEROME JR. | MANAGING DIRECTOR, CHIEF ENTERPRISE RISK OFFICER | 4025460 |
| MITCHELL, CHRISTOPHER MILLS | FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | EVP AND CHIEF COMPLIANCE OFFICER - BROKERAGE | 1347526 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
Red Flags
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