Joseph L. Castellano
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 Castellano was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1995. Joseph had worked at 10 firms and has passed the Series 63, Series 55, 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
February 13, 2009 - July 8, 2013
JOHN THOMAS FINANCIAL
August 13, 2008 - October 22, 2008
ANDREW GARRETT INC.
March 22, 2006 - August 18, 2008
THE CONCORD EQUITY GROUP, LLC
October 18, 2005 - March 27, 2006
CHASE INVESTMENT SERVICES CORP.
August 27, 2003 - October 7, 2005
GUNNALLEN FINANCIAL, INC
November 27, 2002 - September 5, 2003
BENCHMARK SECURITIES GROUP, INC.
October 12, 2000 - March 13, 2002
LABRANCHE FINANCIAL SERVICES, LLC
March 31, 1998 - October 5, 2000
BROCKINGTON SECURITIES, INC.
March 11, 1996 - March 9, 1998
GOLDIS FINANCIAL GROUP, INC.
November 8, 1995 - February 29, 1996
TUSCANY EQUITY MANAGEMENT CORPORATI0N
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 55
Date: 3/7/2000
Limited Representative-Equity Trader ExamCurrent Firm
JOHN THOMAS FINANCIAL
CRD#: 40982 / SEC#: , 8-49254
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CASTELLANO, JOSEPH LOUIS | CHIEF COMPLIANCE OFFICER | 1158479 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 18 |
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.
