Joseph J. Turano

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CRD#: 1658385

Professional summary

Joseph John Turano was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Joseph is a previously registered financial professional and started their career in finance in 2012. Prior to being barred, Joseph had worked at 1 firm, which includes NEEDHAM & COMPANY LLC.

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)

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

August 2, 2012 - July 15, 2013

NEEDHAM & COMPANY, LLC

CRD#: 16360

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NEEDHAM & COMPANY, LLC

NEEDHAM & COMPANY, INC. | NEEDHAM & COMPANY, LLC

CRD#: 16360 / SEC#: 801-62735, 8-33772

RIA

Registered Investment Advisory firm - SEC (2/12/2004 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 99

Date: 8/1/2012

Operations Professional Examination

Current Firm

NEEDHAM & COMPANY, LLC

NEEDHAM & COMPANY, INC. | NEEDHAM & COMPANY, LLC

CRD#: 16360 / SEC#: 801-62735, 8-33772

RIA

Registered Investment Advisory firm - SEC (2/12/2004 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

250 Park Avenue 10th Floor, New York, NY 10177

Mailing Address

250 Park Avenue 10th Floor, New York, NY 10177

Phone number

(212) 371-8300

Established

Delaware since 04/04/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

185

SEC notice filing (14 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
NEEDHAM HOLDINGS, LLC	MEMBER
IACOVONE, JACK JAMES	MANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING	2877398
PRIOR, JOHN JOSEPH JR	MANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC.	1076802
ABBRUZZESE, JAMES MICHAEL	MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES	2960715
FIORDALISO, ROBERT JOSEPH	MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER	2518397
LAUFER, DAVID MICHAEL	MANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING	4336854
MALIK, ANDREW JOSEPH	MANAGING DIRECTOR, CHAIRMAN	317860
MALLOY, JOHN PATRICK	MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH	5322002
MALONEY, THOMAS ANTHONY	MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH	2386331
MERLINO, SALVATORE ANTHONY	MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER	4397078

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Joseph J. Turano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NEEDHAM & COMPANY, LLC

Primary Firm SEC Registration

NEEDHAM & COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 99

Date: 8/1/2012

Current Firm

NEEDHAM & COMPANY, LLC

Contact information

SEC notice filing (14 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NEEDHAM & COMPANY, LLC

TRUST BUT VERIFY

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