Joanne Ricca
Professional summary
Joanne Ricca, who also goes by Joanne Hazel, is a registered financial professional currently at INTERACTIVE BROKERS LLC located in Greenwich, Connecticut.
Joanne is registered as a RR (Registered Representative) and started their career in finance in 1983. Joanne has worked at 9 firms and has passed the Series 57TO, SIE, Series 25, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joanne Ricca's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 25, 2011 - Present
INTERACTIVE BROKERS LLC
Office #1: Pickwick Plaza, Greenwich, CT 06830April 19, 2007 - March 25, 2011
INTERACTIVE BROKERS CORP.
October 6, 2006 - March 21, 2007
MONTECITO ADVISORS, INC.
July 18, 2006 - August 30, 2006
LEK SECURITIES CORPORATION
May 5, 2005 - May 9, 2007
R.J. MURPHY & ASSOCIATES, LLC
October 31, 1985 - May 5, 2005
BOSTON PARTNERS SECURITIES, L.L.C.
March 20, 1985 - September 24, 1985
CREDIT SUISSE SECURITIES (USA) LLC
June 22, 1983 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
June 22, 1983 - November 25, 1989
LEHMAN BROTHERS 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 25
Date: 10/4/2005
NYSE Trading Assistant ExaminationSeries 55
Date: 3/29/2000
Limited Representative-Equity Trader ExamBOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
INTERACTIVE BROKERS LLC
CRD#: 36418 / SEC#: , 8-47257
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IBG LLC | MANAGING MEMBER | |
| BRODY, PAUL JONATHAN | SECRETARY, PRINCIPAL OPERATIONS OFFICER | 1722066 |
| CHAIT, JONATHAN | EXECUTIVE VICE PRESIDENT, COO | 4582696 |
| FRIEDLAND, DAVID ERIC | MANAGING DIRECTOR-ASIAN OPERATIONS | 2715164 |
| GALIK, MILAN | CHIEF EXECUTIVE OFFICER | 2204066 |
| GELMAN, JONATHAN MICHAEL | CHIEF COMPLIANCE OFFICER | 5440103 |
| MANDELBAUM, ELAINE | GENERAL COUNSEL | 2957713 |
| MENICUCCI, JAMES | PRINCIPAL FINANCIAL OFFICER | 6590173 |
| SANDERS, STEVEN JAY | SENIOR VICE PRESIDENT, MARKETING AND PRODUCT DEVELOPMENT | 2812548 |
| SHAO-CHEN, KENGNING | TREASURER | 5910386 |
Disclosures
| Regulatory Event | 93 |
| Arbitration | 26 |
Red Flags
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