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JD

Joseph Delvalle

Some features on this profile are disabled
CRD#: 1476305
JD

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 Delvalle, who also goes by Joseph O Delvalle, Joseph Orlando Delvalle, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1986. Joseph had worked at 12 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph O Delvalle | Joseph Orlando Delvalle

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

September 6, 1989 - March 7, 1990

HASAN GROWNEY CO. INC.

BD
CRD#: 17137
Past

May 15, 1989 - April 20, 1990

RECTOR CAPITAL CORP.

BD
CRD#: 16837
Past

November 9, 1988 - April 24, 1989

J. T. MORAN & CO., INC.

BD
CRD#: 15655
Past

September 9, 1988 - November 16, 1988

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Past

June 9, 1988 - September 22, 1988

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
Past

April 28, 1988 - June 15, 1988

EVANS & CO., INC.

BD
CRD#: 268
Past

April 19, 1988 - April 26, 1988

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
Past

April 12, 1988 - July 16, 1988

OPPENHEIMER & CO. INC.

BD
CRD#: 249
Past

April 1, 1988 - April 12, 1988

FAHNESTOCK INTERNATIONAL INC.

BD
CRD#: 279
Past

January 29, 1988 - April 1, 1988

OPPENHEIMER & CO. INC.

BD
CRD#: 249
Past

August 6, 1987 - January 29, 1988

KUHNS BROTHERS & LAIDLAW, INC.

BD
CRD#: 1481
Past

January 27, 1987 - August 20, 1987

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

November 28, 1986 - February 10, 1987

PHILIPS, APPEL & WALDEN, INC.

BD
CRD#: 659

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
RR
Series 63
Date: 7/21/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/1986
General Securities Representative Examination

Current Firm

HG
HASAN GROWNEY CO. INC.
1ST NEW YORK FINANCIAL CORP. | HASAN GROWNEY CO. INC. | GLASER & COMPANY | CASTLETON-RHODES INC. | ATTILA ASSOCIATES, INC.

CRD#: 17137 / SEC#: , 8-35095

BD
Cancelled by SEC on 01/26/1992
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 06/20/1983
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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.

Company Information

HASAN GROWNEY CO. INC.

CRD#: 17137

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