Joseph J. Ciprari
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 Ciprari, who also goes by Joey Ciprari, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 4 firms and has passed the Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2011 - February 27, 2012
ALLY SECURITIES LLC
December 1, 2000 - May 21, 2008
UBS SECURITIES LLC
January 28, 1995 - December 1, 2000
UBS FINANCIAL SERVICES INC.
November 25, 1987 - January 28, 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 8
Date: 4/27/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALLY SECURITIES LLC
CRD#: 25988 / SEC#: , 8-42417
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLY FINANCIAL INC. | PARENT | |
| BEATON, DANIEL STEWART | CHIEF FINANCIAL OFFICER | 4240769 |
| HALSEY, KURT STUART | PRESIDENT/CEO/COO | 4282242 |
| HOLLAND, DAVID | MEMBER OF BOARD OF DIRECTORS | 6392922 |
| RHODES, DEBORAH LAURA | GENERAL COUNSEL/ASSISTANT SECRETARY | 6392194 |
| SYKES, ROBERT CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2775993 |
| TIMMERMAN, DOUGLAS RICHARD | MEMBER OF BOARD OF DIRECTORS | 6427349 |
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.
