Joseph Corradino
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 Corradino, who also goes by Joseph Frank Corradino Jr, Joseph Frank Corradino, Jospeh Frank (jr) Corradino, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 7A, Series 4 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
May 26, 2017 - August 3, 2020
UBS FINANCIAL SERVICES INC.
March 7, 2014 - November 25, 2015
HSBC SECURITIES (USA) INC.
June 30, 2009 - September 17, 2010
PNC WEALTH MANAGEMENT LLC
June 30, 2009 - September 17, 2010
PNC WEALTH MANAGEMENT LLC
July 8, 2008 - May 1, 2009
CHASE INVESTMENT SERVICES CORP.
May 30, 2008 - May 1, 2009
CHASE INVESTMENT SERVICES CORP.
October 30, 2006 - April 16, 2008
PERSHING LLC
March 18, 1999 - October 31, 2006
COWEN EXECUTION SERVICES LLC
September 30, 1997 - July 27, 2000
COWEN EXECUTION SERVICES LLC
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
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: 11/6/2007
Limited Representative-Equity Trader ExamSeries 7A
Date: 4/25/2002
Floor Broker Representative ExamCurrent Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
