Joseph G. Gerace
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 Gaetano Gerace 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 65, Series 63, Series 15, Series 5, Series 3, Series 7, Series 24, Series 12, Series 53, Series 4 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 1998 - July 7, 1999
TRANSGLOBAL CAPITAL CORPORATION
February 27, 1997 - August 28, 1998
WALDRON & CO., INC.
April 9, 1996 - March 10, 1997
INTERFIRST CAPITAL CORPORATION
December 6, 1995 - June 4, 1996
WALDRON & CO., INC.
August 18, 1994 - December 19, 1995
WELLS FARGO CLEARING SERVICES, LLC
March 26, 1990 - August 2, 1994
MEYERS SECURITIES CORPORATION
August 8, 1988 - March 17, 1990
FULTON FERRACUTE CAPITAL CORP, INC.
July 6, 1987 - June 21, 1988
FIRST UNITED SECURITIES GROUP OF CALIFORNIA
December 8, 1983 - June 25, 1987
E. F. HUTTON & COMPANY INC
August 30, 1982 - November 9, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 15
Date: 8/20/1986
Foreign Currency Options ExaminationSeries 5
Date: 5/22/1986
Interest Rate Options ExaminationSeries 12
Date: 5/12/1993
NYSE Branch Manager ExaminationCurrent Firm
TRANSGLOBAL CAPITAL CORPORATION
CRD#: 33347 / SEC#: , 8-46099
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| POLK, JOICEITA T | PRESIDENT/CHIEF EXECUTIVE OFFICER | 3094319 |
| SPECTRUM EQUITIES, LLC | OWNER |
Disclosures
| Regulatory Event | 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.
