Joseph F. Scavo
Professional summary
Joseph Frank Scavo is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in Charlotte, North Carolina.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1989. Joseph has worked at 13 firms and has passed the Series 65, Series 57TO, Series 99TO, SIE, Series 3, Series 7, Series 10, Series 9, Series 14, Series 27 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Frank Scavo's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 19, 2015 - Present
WELLS FARGO SECURITIES, LLC
Office #1: 550 South Tryon Street 6th Floor D1086-060, Charlotte, NC, 28202October 18, 2021 - July 25, 2025
WELLS FARGO CLEARING SERVICES, LLC
October 18, 2021 - July 25, 2025
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 26, 2016 - July 25, 2025
WELLS FARGO PRIME SERVICES, LLC
October 3, 2013 - June 19, 2014
J.P. MORGAN CLEARING CORP.
September 27, 2013 - June 19, 2014
J.P. MORGAN SECURITIES LLC
December 5, 2007 - January 1, 2010
UBS SERVICES USA LLC
December 5, 2007 - January 24, 2013
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
December 5, 2007 - January 24, 2013
UBS FINANCIAL SERVICES INC.
June 4, 2001 - January 1, 2010
UBS INTERNATIONAL INC.
January 22, 1998 - April 3, 2001
UBS SECURITIES LLC
October 4, 1996 - January 9, 1998
UBS ASSET MANAGEMENT (US) INC.
April 16, 1990 - December 19, 1997
UBS FINANCIAL SERVICES INC.
January 24, 1989 - March 19, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 10/20/1989
General Securities Sales Supervisor Examination (Options Module & General Module)24X National Exchange LLC
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe 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
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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