Joseph L. Cosenza
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 Louis Cosenza, who also goes by Joe Cosenza, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1983. Joseph had worked at 14 firms and has passed the Series 63, Series 66, SIE, 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
July 16, 2013 - July 7, 2025
AMERITAS INVESTMENT COMPANY, LLC
July 18, 2011 - June 13, 2013
MML INVESTORS SERVICES, LLC
April 7, 2009 - January 22, 2010
EQUITABLE ADVISORS, LLC
July 3, 2008 - January 22, 2010
EQUITABLE ADVISORS, LLC
November 22, 2007 - June 30, 2008
MML INVESTORS SERVICES, LLC
August 30, 2004 - November 30, 2005
NYLIFE SECURITIES LLC
March 12, 2004 - July 2, 2004
SUNSET FINANCIAL SERVICES, INC.
January 5, 2004 - February 10, 2004
HORNOR, TOWNSEND & KENT, LLC
January 2, 2003 - December 18, 2003
HORNOR, TOWNSEND & KENT, LLC
June 5, 2000 - October 29, 2002
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
July 28, 1999 - November 18, 1999
PRUCO SECURITIES, LLC.
November 24, 1989 - June 1, 1999
EQUITABLE ADVISORS, LLC
January 2, 1987 - June 1, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 2, 1987 - June 1, 1999
EQUITABLE ADVISORS, LLC
October 9, 1986 - November 24, 1986
INVEST FINANCIAL CORPORATION
June 23, 1986 - October 21, 1986
GLOBAL CAPITAL SECURITIES, INC.
June 9, 1986 - July 1, 1986
LCP CAPITAL CORP.
October 26, 1984 - June 19, 1986
CARDELL & ASSOCIATES, INCORPORATED
September 21, 1983 - September 5, 1984
MACPEG, ROSS, O'CONNELL & GOLDABER, 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
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869 / SEC#: 801-undefined, 8-31296
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITAS LIFE INSURANCE CORP. | BENEFICIAL OWNER | |
| BEASLEY, RYAN CHARLES | MEMBER BOARD OF DIRECTORS | 2943009 |
| BERTHOLD, RICHARD AARON | VICE PRESIDENT, OPERATIONS | 4433172 |
| BIEL, ROLLIN LYNN | FINANCIAL AND OPERATIONS PRINCIPAL | 5101711 |
| HALVERSON, KELLY JAY | MEMBER BOARD OF DIRECTORS | 7977580 |
| KINSELLA, MATTHEW JOHN | CHIEF COMPLIANCE OFFICER | 5217108 |
| KORTE, BRENT FRAZIER | MEMBER BOARD OF DIRECTORS | 4808103 |
| ROBSON, JEREMY MICHAEL | PRESIDENT AND MEMBER BOARD OF DIRECTORS | 4147931 |
| SCHUBAUER, TYLER JOSEPH | CORPORATE SECRETARY | 6392775 |
| SHERFFIUS, MARIA ELIZABETH | SECOND VICE PRESIDENT - COMPLIANCE OFFICER | 2726500 |
| WU, MICHELE XIAOMING | MEMBER BOARD OF DIRECTORS | 7863936 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 2 |
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.
