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Joseph John Salerno Iii

CRD# 1846102·Registered 1989 - 1998
Barred: Joseph John Salerno III was barred by both the FINRA and the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Joseph John Salerno III, who also goes by Joseph Salerno III, Joseph Salerno, was a registered financial advisor. Joseph was a previously registered financial professional and started their career in finance 1989 - 1998. Joseph had worked at 10 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Joseph Salerno Iii, Joseph Salerno

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

37 years in the financial services industry

Current & Past Employments

THE HAMILTON-SHEA GROUP, INC.·CRD# 37526
BD
Pompano Beach, FL
October 31, 1996 - July 10, 1998
JOSEPH ROBERTS & CO., INC.·CRD# 15971
BD
Pompano Beach, FL
July 12, 1993 - October 16, 1996
TUSCANY EQUITY MANAGEMENT CORPORATI0N·CRD# 20016
BD
Deerfield Beach, FL
August 14, 1992 - March 12, 1993
MAYFAIR SECURITIES LIMITED·CRD# 23770
BD
January 14, 1992 - June 18, 1992
J.P. MORGAN SECURITIES LLC·CRD# 79
BD
New York, NY
July 11, 1991 - January 10, 1992
G. K. SCOTT & CO., INC.·CRD# 3305
BD
Plainview, NY
July 18, 1990 - October 3, 1990
CIBC WORLD MARKETS CORP.·CRD# 630
BD
New York, NY
March 16, 1990 - April 23, 1990
HASAN GROWNEY CO. INC.·CRD# 17137
BD
March 2, 1990 - March 5, 1990
SHAMROCK PARTNERS, LTD·CRD# 23955
BD
Media, PA
March 1, 1990 - March 17, 1990
J. W. GANT & ASSOCIATES, INC.·CRD# 7963
BD
March 21, 1989 - July 5, 1989

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Current Firm

TH
THE HAMILTON-SHEA GROUP, INC.

DIVERSIFIED CAPITAL MARKETS | THE HAMILTON-SHEA GROUP, INC. | QUANTUM CAPITAL CORPORATION DBA DIVERSIFIED CAPITAL MARKETS | QUANTUM CAPITAL CORPORATION | DIVERSIFIED CAPITAL MARKETS, INC.

CRD#: 37526 / SEC#: 8-47829
BD
Cancelled by SEC on 09/22/1998

Contact Information

Established

Ohio since 10/31/1994

Firm Type

Corporation

Fiscal Year End

December

Documents

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1989About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1989About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jul 1994About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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