Joseph A. Devito
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 Devito 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 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2003 - July 7, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
February 27, 1997 - March 3, 2003
RUMSON CAPITAL, LLC
December 1, 1995 - November 13, 1996
RUMSON CAPITAL, LLC
February 24, 1994 - March 2, 1995
RUMSON CAPITAL, LLC
April 8, 1993 - August 14, 1995
GRAYSON FINANCIAL LLC
March 18, 1992 - December 31, 1992
FIRST MONTAUK SECURITIES CORP.
August 17, 1991 - February 4, 1992
AMIVEST CORPORATION
September 28, 1990 - May 6, 1991
FINANCIAL HORIZONS SECURITIES CORPORATION
October 22, 1987 - February 10, 1990
J. T. MORAN & CO., INC.
October 23, 1986 - October 14, 1987
CA IB SECURITIES (NEW YORK) 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
Current Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
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.
