Joseph Augostino
Professional summary
Joseph Augostino is a registered financial professional currently at STERN BROTHERS & CO. located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1988. Joseph has worked at 9 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Augostino's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 7, 2020 - Present
STERN BROTHERS & CO.
Office #1: 1270 Avenue Of The Americas Suite 724, New York, NY 10020October 24, 2016 - December 1, 2020
ANOS CAPITAL, LLC
March 24, 2016 - November 4, 2016
ABEL/NOSER CORP.
June 13, 2014 - October 19, 2015
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
August 3, 2009 - May 16, 2014
CIBC WORLD MARKETS CORP.
August 25, 2008 - July 23, 2009
THE BENCHMARK COMPANY, LLC
January 14, 2008 - March 10, 2008
OPPENHEIMER & CO. INC.
August 24, 1996 - January 14, 2008
CIBC WORLD MARKETS CORP.
February 18, 1993 - April 18, 1996
DEUTSCHE IXE, LLC
April 6, 1992 - January 14, 1993
OPPENHEIMER & CO. INC.
March 22, 1988 - February 28, 1992
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/25/2025)
(7/25/2025)
(7/28/2025)
(3/19/2021)
(12/7/2020)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/24/2006
Limited Representative-Equity Trader ExamFINRA
Current Firm
STERN BROTHERS & CO.
CRD#: 16325 / SEC#: , 8-33724
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDED | TRUST | |
| PEGGY P. FINN 2012 TRUST DATED 12-21-2012 | TRUST | |
| CLEMENTS, DONALD SIDNEY | CHIEF TECHNOLOGY OFFICER | 4440518 |
| ESSERT, GLENN EDWARD | CHIEF COMPLIANCE OFFICER, AMLCO | 1447868 |
| FINN, PEGGY PRINCE | CHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE | 730640 |
| FINN, TERRENCE MICHAEL | PRESIDENT, DIRECTOR | 1102166 |
| MIRIANI, JASON ANDREW | CFO, TREASURER | 4547660 |
| WARREN, KAREN KAY | PRINCIPAL OPERATIONS OFFICER | 1316200 |
Disclosures
| Regulatory Event | 1 |
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