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JG

Joseph A. Garofoli

ROC GLOBAL LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 1743163
JG

Professional summary

Joseph Anthony Garofoli III is a registered financial professional currently at ROC GLOBAL LLC located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1987. Joseph has worked at 7 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14, Series 4, Series 24 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Joseph Anthony Garofoli III's CRS (Customer Relationship Summary).

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

Current

May 16, 2011 - Present

ROC GLOBAL LLC

Office #1: 535 Fifth Avenue 4th Floor, New York, NY 10017Office #2: 535 Fifth Avenue 4th Floor, New York, NY 10017
BD
CRD#: 154058
New York, NY
Past

March 5, 2010 - April 28, 2011

MPS GLOBAL SECURITIES, LLC

BD
CRD#: 148689
NEW YORK, NY
Past

November 10, 2009 - February 12, 2010

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

May 22, 2009 - January 21, 2010

MARCO POLO SECURITIES INC.

BD
CRD#: 46561
NEW YORK, NY
Past

September 20, 1999 - March 7, 2008

KBC SECURITIES USA LLC

BD
CRD#: 46709
NEW YORK, NY
Past

October 10, 1995 - October 29, 1999

D.E. SHAW SECURITIES, L.L.C.

BD
CRD#: 24332
NEW YORK, NY
Past

September 18, 1995 - October 10, 1995

D.E. SHAW SECURITIES, L.L.C.

BD
CRD#: 24332
Past

December 18, 1987 - September 15, 1995

CRESVALE INTERNATIONAL, INC.

BD
CRD#: 10813

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(6/29/2011)
RR
Florida
(11/15/2019)
RR
Georgia
(11/2/2021)
RR
New York
(9/14/2011)
RR
Texas
(9/11/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 11/5/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/17/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/18/2001
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/18/1995
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 5/18/1993
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

RG
ROC GLOBAL LLC
ROC GLOBAL LLC | ROC GLOBAL SECURITIES LLC

CRD#: 154058 / SEC#: , 8-68605

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

Main Address
535 Fifth Avenue 4th Floor, New York, NY 10017
Mailing Address
535 Fifth Avenue 4th Floor, New York, NY 10017
Phone number
(646) 218-9841
Established
Connecticut since 06/12/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ROC GLOBAL HOLDINGS LLCOWNER
GAROFOLI, JOSEPH ANTHONY IIICEO, CCO1743163
MUSCIO, ARTHUR PAULFINOP, CFO1970938

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.

Company Information

ROC GLOBAL LLC

CRD#: 154058New York, NY 10017

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