Joseph P. Flood

BROKERTEC AMERICAS LLC

New York, NY 10282

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CRD#: 1824018

Professional summary

Joseph Patrick Flood is a registered financial professional currently at BROKERTEC AMERICAS LLC located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1991. Joseph has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 3, 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 Patrick Flood'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

September 6, 2001 - Present

BROKERTEC AMERICAS LLC

Office #1: 300 Vesey Street 7th Floor, New York, NY 10282Office #2: 300 Vesey Street 7th Floor, New York, NY 10282

CRD#: 47477

New York, NY

Past

September 6, 2000 - September 5, 2001

CANTOR FITZGERALD SECURITIES

CRD#: 19660

NEW YORK, NY

Past

January 23, 1991 - June 15, 2000

DAIWA CAPITAL MARKETS AMERICA INC.

CRD#: 1576

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

New York
(1/14/2020)

Exams

State Security Law Exam

Series 63

Date: 4/25/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/16/1993

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/22/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/23/2025

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BROKERTEC AMERICAS LLC

BROKERTEC AMERICAS LLC | ICAP ELECTRONIC BROKING LLC | BROKERTEC USA, L.L.C.

CRD#: 47477 / SEC#: , 8-51803

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

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Contact information

Main Address

300 Vesey Street 7th Floor, New York, NY 10282

Mailing Address

300 Vesey Street 7th Floor, New York, NY 10282

Phone number

(800) 438-8616

Established

Delaware since 04/23/1999

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BROKERTEC HOLDINGS INC.	100% OWNERSHIP
CALDERON, DAVID JASON	CHIEF FINANCIAL OFFICER	4575354
DENNIS, MICHAEL	DIRECTOR	4192184
HIRSCHMANN, ELISA M	CHIEF COMPLIANCE OFFICER AND DIRECTOR	5112554
WAKEFIELD, JONATHAN BISHOP	CEO - CHIEF EXECUTIVE OFFICER AND DIRECTOR	1676639
WEINMAN, ANDREW LEONARD	CHIEF OPERATIONS OFFICER AND DIRECTOR	5209879

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

Joseph P. Flood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Patrick Flood's CRS (Customer Relationship Summary).

Certified licenses

Experience

CANTOR FITZGERALD SECURITIES

DAIWA CAPITAL MARKETS AMERICA INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/25/1990

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 3/16/1993

Series 7

Date: 1/22/1991

Series 24

Date: 4/23/2025

FINRA

Current Firm

BROKERTEC AMERICAS LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BROKERTEC AMERICAS LLC

TRUST BUT VERIFY

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