Joseph C. Saluzzi

THEMIS TRADING LLC

Chatham, NJ 07928

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CRD#: 1806970

Professional summary

Joseph Carl Saluzzi is a registered financial professional currently at THEMIS TRADING LLC located in Chatham, New Jersey.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1993. Joseph has worked at 3 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Carl Saluzzi's CRS (Customer Relationship Summary).

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

July 9, 2002 - Present

THEMIS TRADING LLC

Office #1: 10 Town Square, Suite 100, Chatham, NJ 07928Office #2: 10 Town Square, Suite 100, Chatham, NJ 07928

CRD#: 120116

Chatham, NJ

Past

August 1, 2000 - June 12, 2002

INSTINET, LLC

CRD#: 42886

NEW YORK, NY

Past

August 16, 1993 - August 1, 2000

REUTERS C CORPORATION

CRD#: 14408

NEW YORK, NY

State Registrations and Notice Filings

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

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

Alabama
(1/31/2013)

Arizona
(7/31/2019)

California
(7/11/2002)

Colorado
(1/3/2024)

Florida
(2/27/2024)

Georgia
(9/24/2002)

Illinois
(10/15/2009)

Massachusetts
(8/6/2002)

New Jersey
(9/25/2002)

New York
(7/9/2002)

Ohio
(1/4/2010)

Texas
(1/3/2024)

Exams

State Security Law Exam

Series 63

Date: 9/8/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 11/16/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/13/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/20/1999

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

Current Firm

THEMIS TRADING LLC

CRD#: 120116 / SEC#: , 8-65260

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

10 Town Square, Suite 100, Chatham, NJ 07928

Mailing Address

10 Town Square, Suite 100, Chatham, NJ 07928

Phone number

(973) 665-9600

Established

Delaware since 02/19/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (17 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SALUZZI, JOSEPH CARL	MANAGING MEMBER	1806970
WILSON, SCOTT ANDREW	MANAGING MEMBER	1558866
ZAJAC, PAUL SCOTT	CCO	4096864
ZAJAC, PAUL SCOTT	MANAGING MEMBER	4096864
ZAJAC, PAUL SCOTT	CEO	4096864
ZAJAC, PAUL SCOTT	COO	4096864
FULVIO, GENNARO JOHN	CFO	2435828
FULVIO, GENNARO JOHN	FINANCIAL AND OPERATIONS PRINCIPAL	2435828

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.

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Joseph C. Saluzzi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Carl Saluzzi's CRS (Customer Relationship Summary).

Certified licenses

Experience

INSTINET, LLC

REUTERS C CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 9/8/1993

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 11/16/1999

Series 7

Date: 8/13/1993

Series 24

Date: 5/20/1999

FINRA

Investors' Exchange LLC

Current Firm

THEMIS TRADING LLC

Contact information

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

THEMIS TRADING LLC

TRUST BUT VERIFY

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