Joseph W. Fleischman

VANDERBILT SECURITIES

Woodbury, NY 11797

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CRD#: 1542152

Professional summary

Joseph William Fleischman is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Woodbury, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1986. Joseph has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Joseph William Fleischman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 7, 2002 - Present

VANDERBILT SECURITIES, LLC

Office #1: 125 Froehlich Farm Blvd., Woodbury, NY 11797

CRD#: 5953

Woodbury, NY

Past

February 29, 2000 - January 30, 2002

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

POUGHKEEPSIE, NY

Past

May 29, 1998 - February 16, 2000

NEW TIMES SECURITIES SERVICES, INC.

CRD#: 34154

MELVILLE, NY

Past

February 13, 1997 - February 11, 1998

NEW TIMES SECURITIES SERVICES, INC.

CRD#: 34154

Past

November 5, 1996 - February 4, 1997

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

February 8, 1994 - October 23, 1996

LONG ISLAND FINANCIAL GROUP, INC.

CRD#: 31148

ROSLYN, NY

Past

March 23, 1987 - August 9, 1996

PERSONAL ASSET MANAGEMENT LTD.

CRD#: 17929

UNIONDALE, NY

Past

November 10, 1986 - September 27, 1988

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

Past

November 10, 1986 - September 27, 1988

EQUITABLE ADVISORS, LLC

CRD#: 6627

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(8/7/2014)

Massachusetts
(5/6/2002)

New York
(1/7/2002)

North Carolina
(7/19/2018)

Exams

State Security Law Exam

Series 63

Date: 1/22/1987

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: 5/2/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/6/1986

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

RICHARDT-ALYN & CO. | VANDERBILT SECURITIES, LLC | VANDERBILT SECURITIES

CRD#: 5953 / SEC#: , 8-16712

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

125 Froehlich Farm Blvd., Woodbury, NY 11797

Mailing Address

125 Froehlich Farm Blvd., Woodbury, NY 11797

Phone number

(631) 845-5100

Established

New York since 12/05/2001

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
VANDERBILT CAPITAL, LLC	SOLE OWNER
ANTENOR, JR, DANIEL	CHIEF OPERATIONS OFFICER/OPTIONS/MUNI	5839052
DISTANTE, STEPHEN ALFRED	CEO - LIMITED PARTNER	2206574
PLAPP, MEGAN LYNN	FINOP, POO, PFO, CFO	6790596
THOMAS, MICHELLE DENISE	CHIEF COMPLIANCE OFFICER	2210435
TRIFILETTI, JOSEPH JOHN	PRESIDENT	5295897

Disclosures

Regulatory Event	5
Arbitration	1

Red Flags

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Firm Stability Insights

Joseph W. Fleischman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph William Fleischman's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIME CAPITAL SERVICES, INC.

NEW TIMES SECURITIES SERVICES, INC.

NEW TIMES SECURITIES SERVICES, INC.

SECURITIES SERVICE NETWORK, LLC

LONG ISLAND FINANCIAL GROUP, INC.

PERSONAL ASSET MANAGEMENT LTD.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/22/1987

SIE

Date: 10/1/2018

Series 7

Date: 5/2/1997

Series 6

Date: 11/6/1986

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VANDERBILT SECURITIES, LLC

TRUST BUT VERIFY

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