Joseph C. Marinelli

THIRD SEVEN CAPITAL LLC

Wall, NJ 07719

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CRD#: 1405445

Professional summary

Joseph Charles Marinelli, who also goes by Joseph C Marinelli Jr, Joseph C Marinelli, Joseph Charles Marinelli Jr, is a registered financial professional currently at THIRD SEVEN CAPITAL LLC located in Wall, New Jersey.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1986. Joseph has worked at 16 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 62, SIE, Series 7, Series 10, Series 9, Series 53, Series 14, Series 8 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joseph C Marinelli Jr | Joseph C Marinelli | Joseph Charles Marinelli Jr

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) - BD

Click below to view Joseph Charles Marinelli's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

August 14, 2018 - Present

THIRD SEVEN CAPITAL LLC

Office #1: 3349a State Route 138 Allaire Corporate Center Building A, Suite A, Seco, Wall, NJ 07719

CRD#: 160209

Wall, NJ

Past

January 8, 2013 - May 31, 2018

WINDSOR STREET CAPITAL, LP

CRD#: 34171

NEW YORK, NY

Past

February 7, 2011 - October 28, 2011

PROTRADE SECURITIES, LLC

CRD#: 149536

CARMEL, NY

Past

February 8, 2010 - January 2, 2013

SPEEDTRADER, INC

CRD#: 107403

CARMEL, NY

Past

September 2, 2009 - November 3, 2009

PRESTIGE FINANCIAL CENTER, INC.

CRD#: 30407

NEW YORK, NY

Past

July 23, 2009 - December 22, 2009

AUGMENT SECURITIES INC.

CRD#: 28373

NEW YORK, NY

Past

June 12, 2009 - July 8, 2011

INTERMERCHANT SECURITIES LLC

CRD#: 142734

NEW YORK, NY

Past

May 9, 2007 - July 14, 2009

AUGMENT SECURITIES INC.

CRD#: 28373

NEW YORK, NY

Past

January 16, 2007 - April 5, 2007

TAFFERER TRADING, LLC

CRD#: 36816

JERSEY CITY, NJ

Past

March 3, 2006 - February 6, 2007

THE CONCORD EQUITY GROUP, LLC

CRD#: 14569

ISELIN, NJ

Past

January 6, 2006 - May 3, 2006

AUGMENT SECURITIES INC.

CRD#: 28373

NEW YORK, NY

Past

October 3, 2005 - January 5, 2006

JAVELIN SECURITIES, LLC

CRD#: 107473

COHASSET, MA

Past

August 2, 2004 - December 1, 2004

HEROLD & LANTERN INVESTMENTS, INC.

CRD#: 30996

MELVILLE, NY

Past

September 19, 1997 - August 13, 2004

TRADEX BROKERAGE SERVICE, INC.

CRD#: 8028

NEW YORK, NY

Past

February 20, 1995 - July 1, 1997

LT LAWRENCE & CO., INC.

CRD#: 31956

NEW YORK, NY

Past

May 3, 1993 - January 23, 1995

LCP CAPITAL CORP.

CRD#: 14469

STATEN ISLAND, NY

Past

September 25, 1991 - May 26, 1993

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

August 6, 1986 - September 20, 1991

EMANUEL AND COMPANY

CRD#: 7309

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New Jersey
(8/24/2018)

New York
(9/10/2018)

Exams

State Security Law Exam

Series 63

Date: 3/6/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 1/2/2023

Corporate Securities Limited Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/30/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 53

Date: 2/10/2000

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 14

Date: 10/25/1998

Compliance Officer Examination

Principal/Supervisory Exam

Series 8

Date: 6/26/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 27

Date: 7/19/1986

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

THIRD SEVEN CAPITAL LLC

THIRD SEVEN CAPITAL ADVISORS | THIRD SEVEN CAPITAL, LLC | THIRD SEVEN CAPITAL LLC

CRD#: 160209 / SEC#: , 8-69032

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

67 Holly Hill Lane Suite 8500, New York, NY 10022

Mailing Address

67 Holly Hill Lane Suite 300c, Greenwich, CT 06830

Phone number

(917) 602-6153

Established

Delaware since 07/06/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
THIRD SEVEN GROUP LLC	HOLDING COMPANY
DIFIORE, MONICA LISA	CCO	2966552
LEDGER, NICHOLAS MARK	CEO/CFO	6779287
SAKOL, DANIEL SCOTT	FIN OP	2813237

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Joseph C. Marinelli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Charles Marinelli's CRS (Customer Relationship Summary).

Certified licenses

Experience

WINDSOR STREET CAPITAL, LP

PROTRADE SECURITIES, LLC

SPEEDTRADER, INC

PRESTIGE FINANCIAL CENTER, INC.

AUGMENT SECURITIES INC.

INTERMERCHANT SECURITIES LLC

AUGMENT SECURITIES INC.

TAFFERER TRADING, LLC

THE CONCORD EQUITY GROUP, LLC

AUGMENT SECURITIES INC.

JAVELIN SECURITIES, LLC

HEROLD & LANTERN INVESTMENTS, INC.

TRADEX BROKERAGE SERVICE, INC.

LT LAWRENCE & CO., INC.

LCP CAPITAL CORP.

LADENBURG THALMANN & CO. INC.

EMANUEL AND COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 3/6/1998

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

Series 62

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/30/1998

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 53

Date: 2/10/2000

Series 14

Date: 10/25/1998

Series 8

Date: 6/26/1998

Series 27

Date: 7/19/1986

FINRA

Current Firm

THIRD SEVEN CAPITAL LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

THIRD SEVEN CAPITAL LLC

TRUST BUT VERIFY

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