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JS

Joel M. Steinmetz

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CRD#: 1388917
JS

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.

Joel Martin Steinmetz, who also goes by Joel M Steinmetz, was a registered financial professional .

Joel is a previously registered financial professional and started their career in finance in 1985. Joel had worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joel M Steinmetz

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 28, 2020 - May 16, 2024

RIALTO MARKETS LLC

BD
CRD#: 283477
New York, NY
Past

December 11, 2018 - February 3, 2020

RIALTO MARKETS LLC

BD
CRD#: 283477
New York, NY
Past

October 27, 2016 - November 8, 2018

UAT RESOURCES, LLC

BD
CRD#: 161378
ENGLEWOOD, CO
Past

January 3, 2011 - June 13, 2012

CITADEL SECURITIES LLC

BD
CRD#: 116797
NEW YORK, NY
Past

March 18, 2008 - September 14, 2010

LIQUIDNET, INC.

BD
CRD#: 103987
NEW YORK, NY
Past

March 13, 2007 - April 7, 2008

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

June 29, 2005 - March 13, 2007

LAVA TRADING, INC.

BD
CRD#: 133804
NEW YORK, NY
Past

October 25, 2004 - July 20, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

August 1, 2000 - June 24, 2003

INSTINET, LLC

BD
CRD#: 42886
NEW YORK, NY
Past

June 8, 1990 - August 1, 2000

REUTERS C CORPORATION

BD
CRD#: 14408
NEW YORK, NY
Past

October 22, 1985 - March 7, 1986

PHILIPS, APPEL & WALDEN, INC.

BD
CRD#: 659
Past

July 25, 1985 - October 16, 1985

MONVEST SECURITIES, INC.

BD
CRD#: 14013

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/28/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/6/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/24/1998
General Securities Principal Examination

Current Firm

RM
RIALTO MARKETS LLC
RIALTO MARKETS LLC | RIALTO TRADING NETWORK LLC

CRD#: 283477 / SEC#: , 8-69756

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
42 Broadway Suite 12-129, New York, NY 10004
Mailing Address
42 Broadway Suite 12-129, New York, NY 10004
Phone number
(917) 575-2601
Established
Delaware since 08/05/2016
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RIALTO TRADING HOLDINGS LLCDIRECT PARENT
NOONAN, SHARI NICOLECEO2463810
ROTHENBERG, SHARI PFINOP6590875
SIMMONS, RYAN ACHIEF OPERATING OFFICER2504080
XOURIS, SUSAN JUDITHCHIEF COMPLIANCE OFFICER2516125

Disclosures

Regulatory Event1

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.

Company Information

RIALTO MARKETS LLC

CRD#: 283477

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