Joseph F. Scrudato
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 Frank Scrudato, who also goes by Joe Scrudato, Joseph Frank Scruduto, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1982. Joseph had worked at 9 firms and has passed the Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2000 - October 16, 2002
USALLIANZ SECURITIES, INC.
October 1, 1997 - December 31, 1999
AMERICAN GENERAL SECURITIES INCORPORATED
February 1, 1993 - October 1, 1997
USLIFE EQUITY SALES CORP.
December 18, 1989 - October 27, 1992
MML INVESTORS SERVICES, LLC
July 11, 1988 - November 29, 1989
FIRST OF PHILADELPHIA INVESTMENT GROUP, INC.
December 5, 1986 - June 7, 1988
WORLD FINANCIAL SERVICES, INC.
January 17, 1983 - October 2, 1986
UNDERHILL ASSOCIATES, INCORPORATED
November 5, 1982 - November 15, 1982
TUCKER ANTHONY INCORPORATED
June 29, 1982 - February 23, 1983
VERRILLI ALTSCHULER SCHWARTZ 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
USALLIANZ SECURITIES, INC.
CRD#: 40875 / SEC#: , 8-49216
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | SHAREHOLDER | |
| HOWELL, RUTH ANNETTE | CHIEF COMPLIANCE OFFICER, COMPLIANCE REGISTERED OPTIONS PRINCIPAL | |
| INGERSOLL, THADDEUS WINTHROP III | COMPLIANCE MANAGER, SENIOR REGISTERED OPTIONS PRINCIPAL | 2616975 |
| JORGENSEN, MICHAEL JAMES | PRESIDENT | 2676329 |
| REITAN, EMILY SUZANNE | CHIEF FINANCIAL OFFICER & TREASURER | 5209812 |
| VITIELLO, VINCENT GERARD | CHAIRMAN OF THE BOARD | 1059845 |
Disclosures
| Regulatory Event | 3 |
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.
