Joseph A. Ghiotto
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 Ghiotto, who also goes by Tony Ghiotto, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1986. Joseph had worked at 8 firms and has passed the Series 63, Series 15, Series 7, Series 8 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
August 18, 2008 - May 27, 2014
SCOTTRADE, INC.
September 22, 2005 - February 20, 2007
SCOTTRADE, INC.
April 6, 2005 - September 21, 2005
TD AMERITRADE, INC.
August 8, 2003 - July 22, 2004
WAMU INVESTMENTS, INC.
April 18, 2002 - November 1, 2002
BROWNCO, LLC
March 27, 2001 - June 7, 2002
DREYFUS BROKERAGE SERVICES, INC.
March 14, 1989 - May 5, 1999
CHARLES SCHWAB & CO., INC.
February 27, 1987 - November 17, 1987
KENNEDY, CABOT & CO.
March 11, 1986 - June 13, 1986
MAIN STREET SECURITIES, 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
Series 15
Date: 6/11/1987
Foreign Currency Options ExaminationSeries 8
Date: 12/16/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
