Joseph A. Paonessa
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 Andre Paonessa, who also goes by Joe Paonessa, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1985. Joseph had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
Management, Finance
1978 - 1982
Experience
July 1, 2021 - June 14, 2023
UBS SECURITIES LLC
June 28, 2021 - June 14, 2023
UBS FINANCIAL SERVICES INC.
January 29, 2018 - July 2, 2021
HILLTOP SECURITIES INC.
July 30, 2013 - December 4, 2017
PIPER SANDLER & CO.
May 23, 2011 - July 25, 2013
JEFFERIES LLC
March 24, 2004 - May 24, 2011
DEUTSCHE BANK SECURITIES INC.
January 21, 1998 - March 30, 2004
LEHMAN BROTHERS INC.
February 4, 1997 - January 12, 1998
FIRST UNION CAPITAL MARKETS CORP.
December 18, 1995 - February 4, 1997
WACHOVIA SECURITIES, INC.
May 27, 1994 - November 20, 1995
PRUDENTIAL EQUITY GROUP, LLC
December 23, 1985 - May 27, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 8
Date: 8/16/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MILLER, MAURA ANNE | CHIEF COMPLIANCE OFFICER | 4444187 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 309 |
| Civil Event | 4 |
| Arbitration | 4 |
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.
