Joseph Larocca
Professional summary
Joseph Larocca is a registered financial professional currently at GARDEN STATE SECURITIES, INC. located in Red Bank, New Jersey.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1986. Joseph has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Larocca's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 10, 2014 - Present
GARDEN STATE SECURITIES, INC.
Office #1: 328 Newman Springs Road, Red Bank, NJ 07701February 10, 2010 - March 13, 2014
J.P. TURNER & COMPANY, L.L.C.
June 13, 2006 - October 1, 2008
NETWORK 1 FINANCIAL SECURITIES INC.
September 14, 1998 - June 9, 2006
GRAYSON FINANCIAL LLC
February 9, 1995 - August 27, 1998
M.S. FARRELL & COMPANY, INC.
July 31, 1993 - February 3, 1995
CITIGROUP GLOBAL MARKETS INC.
July 23, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
June 30, 1989 - July 24, 1991
UBS FINANCIAL SERVICES INC.
May 20, 1988 - July 18, 1989
CITIGROUP GLOBAL MARKETS INC.
April 13, 1987 - June 10, 1988
CIBC WORLD MARKETS CORP.
July 31, 1986 - April 21, 1987
MORGAN STANLEY DW INC.
January 21, 1986 - July 31, 1986
ROONEY, PACE 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
(4/1/2015)
(5/15/2015)
(3/11/2014)
(4/20/2015)
(3/11/2014)
(3/13/2015)
(3/25/2014)
(7/25/2019)
(7/26/2019)
(3/26/2014)
(10/6/2014)
(3/10/2014)
(11/27/2017)
(9/20/2021)
(2/1/2019)
(3/10/2014)
(3/25/2014)
(3/10/2014)
(4/10/2014)
(4/14/2022)
(3/13/2014)
(3/10/2014)
(3/10/2014)
(3/10/2014)
(3/26/2014)
(12/3/2014)
(3/10/2014)
(3/17/2014)
(3/13/2014)
(3/25/2014)
(3/25/2014)
(3/14/2014)
(3/25/2014)
Exams
FINRA
Current Firm
GARDEN STATE SECURITIES, INC.
CRD#: 10083 / SEC#: , 8-25790
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMBROSINO, RAYMOND EDWARD | DIRECTOR/SHAREHOLDER | 2070784 |
| DEROSA, KEVIN JOHN | DIRECTOR/SHAREHOLDER | 2314895 |
| PERROTTO, LOUIS LUCKY JR | DIRECTOR/SHAREHOLDER/CHIEF EXECUTIVE OFFICER | 3053498 |
| SARI, SCOTT HENRY | DIRECTOR/SHAREHOLDER | 2226426 |
| MALONE, PATRICK ANTHONY | CHIEF SUPERVISORY OFFICER | 2143703 |
| MCMULLIN, ROBERT | CHIEF FINANCIAL OFFICER | 1540045 |
| TRIGILI, STEVEN DAVID | CHIEF COMPLIANCE OFFICER | 2232496 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 3 |
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.
