Joseph Vessio
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 Vessio, who also goes by Joe Vessio, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1983. Joseph had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2015 - January 2, 2026
J.P. MORGAN SECURITIES LLC
June 16, 2015 - January 2, 2026
J.P. MORGAN SECURITIES LLC
August 22, 2014 - May 28, 2015
WELLS FARGO CLEARING SERVICES, LLC
August 22, 2014 - May 28, 2015
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2012 - August 13, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - August 13, 2014
J.P. MORGAN SECURITIES LLC
July 27, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 16, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 21, 2009 - May 26, 2010
PNC WEALTH MANAGEMENT LLC
July 21, 2009 - May 26, 2010
PNC WEALTH MANAGEMENT LLC
July 15, 2008 - July 2, 2009
CHASE INVESTMENT SERVICES CORP.
July 8, 2008 - July 2, 2009
CHASE INVESTMENT SERVICES CORP.
July 18, 2006 - June 17, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 23, 2006 - June 17, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 6, 2005 - June 27, 2006
FIS BROKERAGE & SECURITIES SERVICES LLC
January 3, 1995 - July 12, 2005
PERSHING ADVISOR SOLUTIONS LLC
November 21, 1983 - January 3, 1995
PERSHING LLC
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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: 5/29/2004
Limited Representative-Equity Trader ExamCurrent Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLAVITA, MOLLIE | ELECTED MANAGER | 1875615 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 144 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 |
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.
