Joseph A. Silvagni
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 Anthony Silvagni was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1986. Joseph had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2008 - August 29, 2016
A. R. SCHMEIDLER & CO., INC.
October 6, 2003 - October 6, 2008
NORTHEAST SECURITIES, LLC
March 6, 1997 - March 21, 2003
KNIGHT CAPITAL MARKETS LLC
December 10, 1991 - February 7, 1997
ROYAL PALM INVESTMENTS, LTD.
March 14, 1990 - January 6, 1992
DUNHILL EQUITIES, INC.
January 21, 1986 - February 27, 1990
GLICKENHAUS & CO.
Primary Firm SEC Registration
A. R. SCHMEIDLER & CO., INC.
CRD#: 5845 / SEC#: 801-7566, 8-16566
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
Series 55
Date: 3/22/2000
Limited Representative-Equity Trader ExamCurrent Firm
A. R. SCHMEIDLER & CO., INC.
CRD#: 5845 / SEC#: 801-7566, 8-16566
Contact information
SEC notice filing (12 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARTEMIS US IV LLC | OWNER | |
| BURKE, STEPHEN ROBERT | DIRECTOR\PRESIDENT AND MANAGING DIRECTOR | 1054623 |
| KANDEL, PETER GEORGE JR | CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER - BROKER-DEALER | 1003506 |
| LAWLESS, SEAN DAVID | DIRECTOR | 5974211 |
| MARCUS, ILANA RUTH | CHIEF COMPLIANCE OFFICER, REGISTERED INVESTMENT ADVISER | 1743010 |
| MARKEL, GREGORY SCOTT | DIRECTOR, CHIEF INVESTMENT OFFICER AND MANAGING DIRECTOR | 1559421 |
| MAUNDER, TREVOR WILLIAM | DIRECTOR | 5762876 |
| SCHAENEN, MICHAEL | DIRECTOR | 412381 |
| SCHMEIDLER, ANDREW JOHN | DIRECTOR, VICE CHAIRMAN OF THE COMPANY AND MANAGING DIRECTOR | 2287823 |
| SCHMEIDLER, ARNOLD ROGER | CHAIRMAN OF THE COMPANY, FOUNDER AND MANAGING DIRECTOR | 413821 |
| SWARTZMAN, GAVIN | DIRECTOR | 6473848 |
Regulatory assets under management
| Total Number of Accounts | 897 |
| AUM (Assets Under Management) | $ 1,778,346,372 |
Disclosures
| Regulatory Event | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/02/2025 | ||
| 09/19/2024 | ||
| 08/22/2023 | ||
| 11/25/2022 |
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.
