Joseph Ziccardi
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 Ziccardi was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1984. Joseph had worked at 6 firms and has passed the Series 63, SIE, Series 57 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 20, 2017 - June 29, 2018
AVATAR SECURITIES, LLC
April 1, 2008 - October 20, 2010
BRIGHT TRADING, LLC
July 20, 1988 - December 8, 1995
A.J. MICHAELS & CO., LTD.
January 4, 1988 - July 25, 1988
CIBC WORLD MARKETS CORP.
May 13, 1986 - January 12, 1988
UBS FINANCIAL SERVICES INC.
September 25, 1984 - May 17, 1986
MORGAN STANLEY DW 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
Exams
Current Firm
AVATAR SECURITIES, LLC
CRD#: 147763 / SEC#: , 8-67932
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVATAR TRADING GROUP, LLC | HOLDING CO. | |
| DEETER, MISHA BODHI | MEMBER | 5132163 |
| BROWSKI, ANDREW CHARLES | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 5778834 |
| HOLLAND, RAYMOND F | CO-MANAGING MEMBER | 5509397 |
| KATHWARI, OMAR FAROOQ | CO-MANAGING MEMBER | 5509343 |
| SLOAN NOWAK, JACQUELINE LEE | FINOP/PRINCIPAL FINANCIAL OFFICER | 2717305 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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