Gioia A. Masterpalo
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.
Gioia Ann Masterpalo, who also goes by Gioia Ann Brancaccio, Gioia Brancaccio Masterpalo, was a registered financial professional .
Gioia is a previously registered financial professional and started their career in finance in 1981. Gioia had worked at 9 firms and has passed the Series 63, Series 55, Series 7 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
August 25, 2003 - February 28, 2007
TAFFERER TRADING, LLC
March 3, 2003 - June 17, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
April 4, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
August 20, 2001 - September 7, 2001
ICBC STANDARD SECURITIES INC.
October 11, 1994 - July 18, 2001
ICBC STANDARD SECURITIES INC.
January 28, 1994 - October 18, 1994
NOYES PARTNERS INCORPORATED
December 2, 1992 - December 22, 1993
GUZMAN & COMPANY
January 22, 1990 - January 15, 1992
MCINTOSH & COMPANY, INC.
February 15, 1989 - July 29, 1989
DEUTSCHE IXE, LLC
June 26, 1981 - January 6, 1989
S.G. WARBURG & CO. 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 55
Date: 11/4/1999
Limited Representative-Equity Trader ExamCurrent Firm
TAFFERER TRADING, LLC
CRD#: 36816 / SEC#: , 8-47474
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLD BROTHERS INC. | HOLDING CORPORATION | |
| HOLD, GREGORY FRANCIS | CHIEF EXECUTIVE OFFICER | 2169408 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
