Joseph N. Dagostino
Professional summary
Joseph Nicholas Dagostino, who also goes by Joseph Nicholas D'agostino, is a registered financial advisor currently at WESTEND ADVISORS, LLC located in Charlotte, North Carolina.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Joseph has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Nicholas Dagostino's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 15, 2018 - Present
WESTEND ADVISORS, LLC
Office #1: 1001 Morehead Square Drive Suite 600, Charlotte, NC 28203February 24, 2022 - September 7, 2023
DYNASTY WEALTH MANAGEMENT, LLC
January 8, 2013 - September 10, 2015
AMERICAN CENTURY INVESTMENT SERVICES INC.
June 1, 2009 - December 19, 2012
MORGAN STANLEY
June 1, 2009 - December 19, 2012
MORGAN STANLEY
December 20, 2005 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
December 1, 2005 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 9, 1991 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 9, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
August 21, 1984 - April 23, 1990
THE ROBINSON-HUMPHREY COMPANY, LLC
Primary Firm SEC Registration
WESTEND ADVISORS, LLC
CRD#: 133279 / SEC#: 801-63626
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/15/2018)
Exams
Series 15
Date: 2/19/1988
Foreign Currency Options ExaminationSeries 5
Date: 2/19/1988
Interest Rate Options ExaminationSeries 8
Date: 7/6/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WESTEND ADVISORS, LLC
CRD#: 133279 / SEC#: 801-63626
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,002 |
| AUM (Assets Under Management) | $ 1,699,961,169 |
Red Flags
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