Joseph C. Gaziano
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 Carmelo Gaziano was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 12 firms and has passed the Series 63, SIE, Series 7 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
June 25, 2012 - July 16, 2020
BNY MELLON CAPITAL MARKETS, LLC
October 3, 2011 - May 31, 2012
ALLY SECURITIES LLC
October 28, 2009 - October 5, 2011
WELLS FARGO SECURITIES, LLC
March 12, 2009 - October 6, 2009
ELEVATION, LLC
August 6, 2004 - March 12, 2009
CITIGROUP GLOBAL MARKETS INC.
June 13, 1996 - August 12, 2004
MORGAN STANLEY MARKET PRODUCTS INC.
June 10, 1996 - August 12, 2004
MORGAN STANLEY & CO. LLC
November 30, 1995 - June 20, 1996
HSBC SECURITIES (USA) INC.
July 17, 1995 - October 6, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
May 26, 1993 - July 14, 1995
J.P. MORGAN SECURITIES INC.
April 30, 1991 - June 3, 1993
INTESA SANPAOLO IMI SECURITIES CORP.
March 9, 1990 - April 30, 1991
MABON, NUGENT & CO.
July 21, 1987 - March 17, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Current Firm
BNY MELLON CAPITAL MARKETS, LLC
CRD#: 17454 / SEC#: , 8-35255
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY CAPITAL MARKETS HOLDINGS, INC. | SOLE SHAREHOLDER | |
| BARYSH, ROBERT PHILIP | CHIEF OPERATIONS OFFICER (COO), PRINCIPAL OPERATIONS OFFICER | 2800329 |
| DUFFANY, STEPHEN JOHN | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2535640 |
| GOODHEART, JOHN | BOARD OF MANAGERS | 2419623 |
| HIGGINS, ALISON MATTHESEN | BOARD OF MANAGERS, CHIEF COMPLIANCE OFFICER (CCO) | 6718782 |
| KLINGER, DANIEL ADAM | BOARD OF MANAGERS | 2983871 |
| LYNCH, ROBERT E | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 2981333 |
| MCCORMICK, JEFFREY | BOARD OF MANAGERS | 5261504 |
| SKOKO, DRAGAN | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 4394961 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 1 |
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.
