Joseph P. Connors
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 Patrick Connors was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1985. Joseph had worked at 12 firms and has passed the Series 63 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 18, 2012 - September 6, 2012
STANDARD CREDIT SECURITIES INC.
April 16, 2007 - August 27, 2012
TRADITION SECURITIES AND DERIVATIVES LLC
January 3, 2006 - September 18, 2006
MCFADDEN, FARRELL & SMITH, L.P.
November 17, 2004 - January 6, 2006
SEABOARD SECURITIES, INC.
January 29, 2004 - October 28, 2004
PECONIC SECURITIES LLC
September 24, 2001 - January 22, 2004
MCFADDEN, FARRELL & SMITH, L.P.
November 4, 1999 - July 19, 2000
FIRST BROKERS SECURITIES LLC
July 31, 1998 - October 28, 1999
BGC FINANCIAL, L.P.
December 5, 1996 - March 2, 1998
MINT BROKERS
December 3, 1996 - March 2, 1998
CANTOR FITZGERALD SECURITIES
March 27, 1991 - November 22, 1996
MCFADDEN, FARRELL & SMITH, L.P.
October 25, 1990 - April 2, 1991
W.A. CAPITAL MARKETS
December 18, 1987 - September 27, 1990
MINT BROKERS
March 6, 1987 - November 23, 1987
KMS CORPORATE BROKERS, INC.
March 23, 1985 - March 10, 1987
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
STANDARD CREDIT SECURITIES INC.
CRD#: 42813 / SEC#: , 8-50011
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADITION (NORTH AMERICA) INC. | 100% OWNER | |
| ARAGONA, ANTHONY THOMAS | CHIEF OPERATIONS OFFICER | 4271496 |
| ASSENTATO, EMIL | CHAIRMAN OF THE BOARD OF DIRECTORS | 1952191 |
| EARNHARDT, ERIC MICHAEL | CHIEF COMPLIANCE OFFICER, AML OFFICER | 1855856 |
| FEWER, DONALD PATRICK | CHIEF EXECUTIVE OFFICER | 1415123 |
| RICCIARDI, JUDITH ANN | EXECUTIVE VICE PRESIDENT, SECRETARY, TREASURER, FINOP, CFO | 2260346 |
Disclosures
| Regulatory Event | 2 |
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.
