Joseph J. Passaro
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 John Passaro, who also goes by Joe Passaro, Joseph John Passaro Sr, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 55 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
January 8, 2018 - June 4, 2018
USAA INVESTMENT SERVICES COMPANY
February 28, 2017 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
February 22, 2017 - June 1, 2018
USAA FINANCIAL ADVISORS, INC.
June 3, 2013 - December 7, 2016
TRUSTMONT ADVISORY GROUP, INC.
May 7, 2013 - December 7, 2016
TRUSTMONT FINANCIAL GROUP, INC.
March 27, 2013 - May 8, 2013
DARWIN WEALTH MANAGEMENT
July 31, 2012 - October 30, 2012
WADDELL & REED
May 7, 2012 - October 30, 2012
WADDELL & REED
December 24, 2008 - April 3, 2012
MSI FINANCIAL SERVICES, INC.
April 3, 2006 - July 9, 2007
TP ICAP GLOBAL MARKETS AMERICAS LLC
June 11, 2002 - October 14, 2005
PRUDENTIAL EQUITY GROUP, LLC
March 21, 2000 - June 13, 2002
LEHMAN BROTHERS INC.
June 6, 1997 - March 14, 2000
SCHRODER & CO. INC.
March 20, 1997 - May 9, 1997
DB ALEX. BROWN LLC
April 6, 1990 - March 13, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 26, 1987 - March 20, 1990
SALOMON BROTHERS INC.
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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 55
Date: 2/28/2001
Limited Representative-Equity Trader ExamCurrent Firm
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
