AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JF

Joseph D. France

SIDOTI & COMPANY
New York, NY 10036
Some features on this profile are disabled
CRD#: 1123306
JF

Professional summary

Joseph David France, who also goes by Joe France, is a registered financial professional currently at SIDOTI & COMPANY, LLC located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1983. Joseph has worked at 12 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joe France

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph David France's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 12, 2024 - Present

SIDOTI & COMPANY, LLC

Office #1: 1177 Avenue Of Americas Floor 5, New York, NY 10036Office #2: 1177 Avenue Of Americas Floor 5, New York, NY 10036
BD
CRD#: 102860
New York, NY
Past

April 5, 2022 - June 1, 2023

LOOP CAPITAL MARKETS LLC

BD
CRD#: 43098
Boston, MA
Past

April 21, 2021 - April 1, 2022

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
NEW YORK, NY
Past

October 4, 2011 - November 20, 2018

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

June 16, 2010 - August 30, 2011

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
BOSTON, MA
Past

May 20, 2010 - June 25, 2010

BROADPOINT AMTECH, INC.

BD
CRD#: 121456
BOSTON, MA
Past

March 25, 2003 - February 25, 2008

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

December 7, 2000 - March 26, 2003

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

August 14, 2000 - October 10, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

July 19, 1996 - November 27, 2000

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

June 28, 1995 - July 30, 1996

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

March 10, 1994 - June 27, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

April 19, 1983 - March 10, 1993

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Massachusetts
(1/17/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 4/23/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 6/28/2010
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 4/16/1983
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

S&
SIDOTI & COMPANY, LLC
SIDOTI & COMPANY, LLC | SIDOTI RESEARCH SERVICES, LLC | SIDOTI RESEARCH SERVICES

CRD#: 102860 / SEC#: , 8-52141

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1177 Avenue Of Americas Floor 5, New York, NY 10036
Mailing Address
P.o. Box 5337, New York, NY 10185
Phone number
(212) 297-0001
Established
Delaware since 03/01/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SIDOTI HOLDING COMPANY, LLCSOLE MEMBER
FISCHER, HOWARD STEVENFINOP / PFO / PPO1637077
SIDOTI, PETER THOMASCEO, CCO1359648

Disclosures

Regulatory Event3

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.

Company Information

SIDOTI & COMPANY, LLC

CRD#: 102860New York, NY 10036

TRUST BUT VERIFY

Monitor Joseph France

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics