Joseph A. Palminteri
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 Anthony Palminteri was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1983. Joseph had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 27, Series 8 and Series 14 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2016 - October 4, 2017
STONEX FINANCIAL INC.
November 8, 2011 - July 11, 2013
TD SECURITIES (USA) LLC
December 24, 2010 - April 1, 2011
DEXIA SECURITIES USA LLC
February 29, 2008 - March 11, 2010
RBC CAPITAL MARKETS, LLC
October 3, 2007 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
October 25, 2005 - August 8, 2007
UST SECURITIES CORP.
October 25, 2004 - September 6, 2005
MIZUHO SECURITIES USA LLC
September 3, 1997 - March 16, 2004
BNP PARIBAS SECURITIES CORP.
April 1, 1996 - June 27, 1997
J.P. MORGAN SECURITIES INC.
July 21, 1993 - April 1, 1996
CHASE SECURITIES, INC.
May 31, 1991 - May 27, 1993
M. J. WHITMAN, INC.
July 16, 1990 - January 23, 1992
WALSH, GREENWOOD & CO.
June 22, 1983 - October 24, 1984
J.P. MORGAN SECURITIES LLC
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 8
Date: 5/30/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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