JC
Joseph A. Colleran
VALLEY FINANCIAL MANAGEMENT
New York, NY 10017
Some features on this profile are disabled
CRD#: 1010582
JC
Professional summary
Joseph Arthur Colleran III, who also goes by Joseph A Colleran III, Joseph Arthur III Colleran, Joseph A Colleran Iii Iii, is a registered financial professional currently at VALLEY FINANCIAL MANAGEMENT, INC. located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1981. Joseph has worked at 10 firms and has passed the Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Joseph A Colleran Iii | Joseph Arthur Iii Colleran | Joseph A Colleran Iii Iii
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Joseph Arthur Colleran III's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 17, 2013 - Present
VALLEY FINANCIAL MANAGEMENT, INC.
Office #1: 350 Madison Avenue, New York, NY 10017Office #2: 350 Madison Ave. 4th Floor, Compliance Department, New York, NY 10017RIA
BD
CRD#: 105387
New York, NY
Past
July 14, 2011 - September 3, 2013
TRADEWEB DIRECT LLC
BD
CRD#: 103787
NEW YORK, NY
Past
December 2, 2008 - June 2, 2011
MARKETAXESS CORPORATION
BD
CRD#: 44542
NEW YORK, NY
Past
April 2, 2007 - April 23, 2007
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
PURCHASE, NY
Past
April 15, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
April 1, 1996 - July 15, 1996
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
March 17, 1995 - April 1, 1996
CHASE SECURITIES, INC.
BD
CRD#: 10793
NEW YORK, MD
Past
October 30, 1989 - March 14, 1995
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
May 21, 1984 - January 27, 1986
ALEX. BROWN & SONS INCORPORATED
BD
CRD#: 20
Past
September 25, 1981 - February 28, 1984
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VF
VALLEY FINANCIAL MANAGEMENT, INC.
LEUMI INVESTMENT SERVICES | VFM | VALLEY FINANCIAL MANAGEMENT, INC. | VALLEY F.M. | LISI | LEUMI INVESTMENT SERVICES INC. | LEUMI INVESTMENT SERVICES INC
CRD#: 105387 / SEC#: 801-113685, 8-52993
RIA
Registered Investment Advisory firm - SEC (7/27/2018 Approved)California
Registered Investment Advisory firm - SEC (9/1/2018 Terminated)Florida
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/27/2018 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Maryland
Registered Investment Advisory firm - SEC (8/10/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (10/2/2018 Terminated)New York
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(12/1/2016)
RR
California(9/17/2013)
RR
Colorado(6/16/2016)
RR
Connecticut(4/2/2021)
RR
Delaware(4/2/2021)
RR
District of Columbia(4/2/2021)
RR
Florida(9/17/2013)
RR
Georgia(4/2/2021)
RR
Hawaii(4/2/2021)
RR
Idaho(4/2/2021)
RR
Illinois(9/17/2013)
RR
Indiana(4/2/2021)
RR
Iowa(4/2/2021)
RR
Kansas(4/2/2021)
RR
Kentucky(4/2/2021)
RR
Louisiana(4/2/2021)
RR
Maine(4/2/2021)
RR
Maryland(4/2/2021)
RR
Massachusetts(4/2/2021)
RR
Michigan(4/2/2021)
RR
Minnesota(4/2/2021)
RR
Missouri(4/2/2021)
RR
Montana(4/2/2021)
RR
Nebraska(4/2/2021)
RR
Nevada(4/2/2021)
RR
New Hampshire(4/2/2021)
RR
New Jersey(6/22/2016)
RR
New Mexico(4/2/2021)
RR
New York(9/17/2013)
RR
North Carolina(4/2/2021)
RR
North Dakota(4/2/2021)
RR
Ohio(4/2/2021)
RR
Oklahoma(4/2/2021)
RR
Oregon(4/2/2021)
RR
Pennsylvania(2/10/2020)
RR
Puerto Rico(4/2/2021)
RR
Rhode Island(4/2/2021)
RR
South Carolina(4/2/2021)
RR
South Dakota(4/2/2021)
RR
Tennessee(4/2/2021)
RR
Texas(6/16/2016)
RR
Utah(4/2/2021)
RR
Vermont(4/2/2021)
RR
Virginia(4/2/2021)
RR
Washington(6/16/2016)
RR
West Virginia(4/2/2021)
RR
Wisconsin(6/16/2016)
RR
Wyoming(4/2/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/27/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VF
VALLEY FINANCIAL MANAGEMENT, INC.
LEUMI INVESTMENT SERVICES | VFM | VALLEY FINANCIAL MANAGEMENT, INC. | VALLEY F.M. | LISI | LEUMI INVESTMENT SERVICES INC. | LEUMI INVESTMENT SERVICES INC
CRD#: 105387 / SEC#: 801-113685, 8-52993
RIA
Registered Investment Advisory firm - SEC (7/27/2018 Approved)California
Registered Investment Advisory firm - SEC (9/1/2018 Terminated)Florida
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/27/2018 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Maryland
Registered Investment Advisory firm - SEC (8/10/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (10/2/2018 Terminated)New York
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
350 Madison Ave. 4th Floor, Compliance Department, New York, NY 10017
Mailing Address
350 Madison Ave. 4th Floor, Compliance Department, New York, NY 10017
Phone number
(212) 407-4362
Established
New York since 08/08/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
102
SEC notice filing (13 States and Territories)
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VALLEY NATIONAL BANK | DIRECT PARENT OF APPLICANT | |
| CHITTENDEN, KEVIN L. | DIRECTOR | 8047906 |
| COLLERAN, JOSEPH ARTHUR III | PRESIDENT / CEO | 1010582 |
| GAWLEY, CHRISTOPHER JON | GENERAL COUNSEL | 4997190 |
| LAN, TRAVIS | DIRECTOR | 5190958 |
| MAYO, JAMIE | CHIEF FINANCIAL OFFICER | 3113603 |
| SCHULTZ, MELISSA JOSEPH | CHAIRPERSON | 1155034 |
| WILSON, CHRISTOPHER MICHAEL | CHIEF COMPLIANCE OFFICER | 5163915 |
Regulatory assets under management
| Total Number of Accounts | 60 |
| AUM (Assets Under Management) | $ 55,000 |
Disclosures
| Regulatory Event | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
