Joseph K. Taussig

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CRD#: 1458798

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 Knefler Taussig III, who also goes by Joe Taussig, Joseph Knefler Taussig, 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, SIE, Series 7, Series 4, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joe Taussig | Joseph Knefler Taussig

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

January 3, 2022 - February 27, 2024

USQ SECURITIES LLC

CRD#: 299008

NEW YORK, NY

Past

July 19, 2018 - November 4, 2019

ECOBAN SECURITIES CORPORATION

CRD#: 29112

NEW ROCHELLE, NY

Past

September 23, 2015 - July 23, 2016

ECOBAN SECURITIES CORPORATION

CRD#: 29112

NEW ROCHELLE, NY

Past

April 30, 2013 - January 23, 2014

MIDDLEBURY SECURITIES LLC

CRD#: 122602

WEYBRIDGE, VT

Past

May 3, 2010 - May 17, 2011

MIDDLEBURY SECURITIES LLC

CRD#: 122602

WEYBRIDGE, VT

Past

June 14, 2005 - July 10, 2008

TERRANOVA CAPITAL EQUITIES, INC

CRD#: 45097

NEW YORK, NY

Past

February 18, 1997 - June 18, 2003

FIRST INTERNATIONAL CAPITAL LTD.

CRD#: 40445

PEMBROKE,

Past

January 24, 1992 - July 6, 1995

FIRST BERMUDA SECURITIES LTD.

CRD#: 29331

HAMILTON,

Past

June 8, 1991 - February 4, 1992

CITIZENS JMP SECURITIES, LLC

CRD#: 22208

SAN FRANCISCO, CA

Past

February 19, 1986 - October 5, 1987

REUTERS C CORPORATION

CRD#: 14408

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

Series 63

Date: 4/30/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/27/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 1/23/1992

Registered Options Principal Examination

Principal/Supervisory Exam

Series 27

Date: 1/3/1992

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/9/1991

General Securities Principal Examination

Current Firm

USQ SECURITIES LLC

USQ SECURITIES LLC | USQA CAPITAL LLC

CRD#: 299008 / SEC#: , 8-70279

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

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Contact information

Main Address

403 E. 90th Street #1rw, New York, NY 10128

Mailing Address

403 E. 90th Street #1rw, New York, NY 10128

Phone number

(347) 334-9813

Established

Delaware since 11/06/2018

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (6 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
COLLINS, ANTHONY ARTHUR	MANAGING MEMBER, EXECUTIVE REP	6580684
HILL, HUGH F IV	MANAGING MEMBER, CCO	6604738
HOPKINS, THOMAS JOHN	FINOP, PFO, POO	1835087

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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Firm Stability Insights

Joseph K. Taussig

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ECOBAN SECURITIES CORPORATION

ECOBAN SECURITIES CORPORATION

MIDDLEBURY SECURITIES LLC

MIDDLEBURY SECURITIES LLC

TERRANOVA CAPITAL EQUITIES, INC

FIRST INTERNATIONAL CAPITAL LTD.

FIRST BERMUDA SECURITIES LTD.

CITIZENS JMP SECURITIES, LLC

REUTERS C CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 4/30/2013

SIE

Date: 10/1/2018

Series 7

Date: 3/27/1991

Series 4

Date: 1/23/1992

Series 27

Date: 1/3/1992

Series 24

Date: 7/9/1991

Current Firm

USQ SECURITIES LLC

Contact information

FINRA licenses (6 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

USQ SECURITIES LLC

TRUST BUT VERIFY

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