Joseph Annunziata
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 Annunziata, who also goes by Joseph Nmn Annuniziata, Joseph Annuniziata, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2005 - April 5, 2019
FHN FINANCIAL SECURITIES CORP.
September 2, 1998 - January 7, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
May 3, 1996 - September 14, 1998
CANTOR FITZGERALD SECURITIES
November 13, 1995 - April 16, 1996
EXCO RMJ INTERNATIONAL INC.
July 18, 1994 - July 13, 1995
APEX CLEARING CORPORATION
September 10, 1992 - January 11, 1994
GARBAN CAPITAL MARKETS LLC
October 28, 1991 - September 9, 1992
FUNDAMENTAL BROKERS
June 10, 1991 - October 30, 1991
MARINER GROUP CAPITAL MARKETS, LLC
April 27, 1990 - May 15, 1991
NEW YORK CAPITAL MARKETS INC.
July 25, 1987 - March 7, 1990
ELDERS GOVERNMENT SECURITIES 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
Current Firm
FHN FINANCIAL SECURITIES CORP.
CRD#: 46346 / SEC#: , 8-51393
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HORIZON BANK | SHAREHOLDER | |
| BUCK, WILLIAM JAMES II | PRINCIPAL OPERATING OFFICER | 3129662 |
| DABROWSKI, MARK GERARD | CHIEF COMPLIANCE OFFICER | 2065647 |
| GRIFFIN, MARK DANIEL | SVP, RISK CONTROL MANAGER | 7462222 |
| JACKSON, JEFF BRIAN | SVP/ TRADING MANAGER | 2777631 |
| RITCHESON, DONALD ALLEN | PRINCIPAL FINANCIAL OFFICER / CFO | 2360009 |
| ROMANOW, TIMOTHY MARK | PRESIDENT/CEO | 2533445 |
| WADDELL, MICHAEL KNOX | EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 5657529 |
Disclosures
| Regulatory Event | 7 |
| 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.
