Joseph R. Marinello
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 Ralph Marinello III was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 9 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2020 - January 5, 2021
LPS CAPITAL LLC
November 22, 2016 - January 13, 2020
MINT BROKERS
September 24, 2009 - January 13, 2020
BGC FINANCIAL, L.P.
January 3, 2007 - October 19, 2009
TULLETT PREBON FINANCIAL SERVICES LLC
September 29, 1999 - March 19, 2007
CHAPDELAINE CORPORATE SECURITIES & CO
January 21, 1998 - September 27, 1999
FIRST BROKERS SECURITIES LLC
January 31, 1997 - August 28, 1997
BONDNET BROKERAGE, INCORPORATED
March 17, 1995 - December 24, 1996
CITIGROUP GLOBAL MARKETS INC.
January 21, 1987 - January 11, 1995
KIDDER, PEABODY & CO. 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 7TO
Date: 9/18/2023
General Securities Representative ExaminationCurrent Firm
LPS CAPITAL LLC
CRD#: 155246 / SEC#: , 8-68706
Contact information
FINRA licenses (28 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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