Joseph S. Fichera
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 Sebastian Fichera, who also goes by Joseph S Fichera, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 3 firms and has passed the Series 63, SIE, 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
April 19, 2018 - October 23, 2019
THE WILLIAMS CAPITAL GROUP, L.P.
December 21, 2010 - May 6, 2016
THE WILLIAMS CAPITAL GROUP, L.P.
September 15, 2003 - February 23, 2009
SABER CAPITAL PARTNERS, LLC
October 29, 1997 - September 7, 2000
PRUDENTIAL EQUITY GROUP, LLC
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
THE WILLIAMS CAPITAL GROUP, L.P.
CRD#: 35149 / SEC#: , 8-46623
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILLIAMS, CHRISTOPHER JUDSON | CHAIRMAN,CEO,LTD PARTNER | 1335377 |
| THE WILLIAMS CAPITAL GROUP, INC. | GENERAL PARTNER | |
| LEVIN, JONATHAN WILLIAM | MANAGING DIRECTOR, LTD PARTNER | 1312315 |
| CALABRISOTTO, DIANNE | LIMITED PARTNER | 1273900 |
| CALABRISOTTO, DIANNE | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 1273900 |
| CALABRISOTTO, DIANNE | CCO, CAO | |
| CALABRISOTTO, DIANNE | CHIEF OPERATING OFFICER | 1273900 |
| CARL, STEPHEN JULIUS | SROP, CROP, ASSISTANT VICE PRESIDENT OF THE WILLIAMS CAPITAL GROUP, INC, THE GENERAL PARTNER OF THE WILLIAMS CAPITAL GROUP, L.P. | 1542098 |
| COARD, DAVID ANTHONY | LIMITED PARTNER | 1633685 |
| FINKELSTEIN, DAVID ANDREW | LIMITED PARTNER | 1056495 |
| WO, PATRICK C | CHIEF FINANCIAL OFFICER, FINOP | 1978566 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
