Joseph A. Miceli
Professional summary
Joseph Anthony Miceli is a registered financial professional currently at TRADEWEB DIRECT LLC located in Jersey City, New Jersey.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1988. Joseph has worked at 5 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 52, Series 6 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Anthony Miceli's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 5, 2019 - Present
TRADEWEB DIRECT LLC
Office #1: 185 Hudson Street Harborside 5, Suite 22, Jersey City, NJ 07311October 11, 2011 - September 16, 2019
DEALERWEB LLC
March 11, 2004 - October 10, 2011
RAFFERTY CAPITAL MARKETS, LLC
May 18, 1993 - April 30, 2004
J.J. KENNY DRAKE, INC.
January 20, 1988 - August 20, 1988
FORESTERS FINANCIAL SERVICES, INC.
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
TRADEWEB DIRECT LLC
CRD#: 103787 / SEC#: , 8-52278
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BONDDESK GROUP LLC | OWNER | |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CAHALANE, JOHN JOSEPH | PRESIDENT | 2922033 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| FRIEDMAN, DOUGLAS L. | GENERAL COUNSEL | 5121291 |
| MCGUIRE, MICHAEL TERRENCE | CHIEF COMPLIANCE OFFICER | 2267871 |
| PITTINSKY, JONATHAN DAVID | CHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL | 4291263 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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