JL
Joel D. Levinson
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CRD#: 1848928
JL
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joel David Levinson was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1993. Joel had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 87, Series 55, Series 3, Series 7, Series 10, Series 4, Series 14, Series 24 and Series 8 exams.
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.
1. I AM EMPLOYED AS AN ADJUNCT PROFESSOR TEACHING POLITICAL SCIENCE AND ETHICS WITH DEVRY UNIVERSITY, 630 US HIGHWAY ONE, NORTH BRUNSWICK, NJ 08902, THIS POSITION IS NOT INVESTMENT-RELATED. I BEGAN THIS ROLE IN JANUARY OF 2014. I DEVOTE APPROXIMATELY TEN HOURS A MONTH (INCLUDING CLASS TIME AND PREPARATION) TO THIS ROLE,NOT DURING SECURITIES TRADING HOURS.
2. I RECENTLY INHERITED A PARTIAL OWNERSHIP OF THE FOLLOWING SUBCHAPTER S CORPORATION. - L. LEVINSON, INC. - 1553 BATH AVENUE, BROOKLYN, NY 11228. I OWN 33 1/3 SHARES OT OF A TOTAL OF 200 ISSUED. I DEVOTE NO HOURS TO THE BUSINESS.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
July 30, 2015 - March 3, 2023
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
NEW YORK, NY
Past
July 29, 2015 - March 3, 2023
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
January 30, 2015 - July 31, 2015
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
LONG ISLAND CITY, NY
Past
January 14, 2015 - July 31, 2015
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
July 30, 2012 - April 17, 2013
MARWOOD GROUP
BD
CRD#: 117015
NEW YORK, NY
Past
July 26, 2012 - April 17, 2013
MARWOOD GROUP RESEARCH
BD
CRD#: 147316
NEW YORK, NY
Past
March 16, 2007 - May 1, 2007
FIRST MONTAUK SECURITIES CORP.
RIA
CRD#: 13755
RED BANK, NJ
Past
June 6, 2000 - May 1, 2007
FIRST MONTAUK SECURITIES CORP.
BD
CRD#: 13755
RED BANK, NJ
Past
July 1, 1996 - May 31, 2000
GILFORD SECURITIES INCORPORATED
BD
CRD#: 8076
NEW YORK, NY
Past
December 2, 1994 - July 11, 1996
FIRST INTERREGIONAL EQUITY CORP.
BD
CRD#: 7486
MILBURN, NJ
Past
January 5, 1993 - April 21, 1995
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OPPENHEIMER & CO. INC.
CAROLAN DIVISION OF OPPENHEIMER & CO. INC. | REPARIAN PARTNERS, DIVISION OF OPPENHEIMER & CO. INC. | PEARL STREET INVESTMENT MANAGEMENT , DIVISION OF OPPENHEIMER & C | OPPENHEIMER & CO. INC. | OMEGA SERVICES PROGRAM | NEWBOLD'S INVESTMENT ADVISORS | FIRST OF MICHIGAN DIVISION | FAHNESTOCK DIVISION OF OPPENHEIMER & CO. INC. | FAHNESTOCK ASSET MANAGEMENT DIVISION OF OPPENHEIMER & CO. INC. | FAHNESTOCK ASSET MANAGEMENT | FAHNESTOCK & CO., INC. | FAHNESTOCK & CO. INC. | EDWARD A. VINER & CO., INC. | CRANBROOK CAPITAL MANAGEMENT, INC.
CRD#: 249 / SEC#: 801-887, 8-4077
RIA
Registered Investment Advisory firm - SEC (2/9/1955 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/12/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/31/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
OPPENHEIMER & CO. INC.
CAROLAN DIVISION OF OPPENHEIMER & CO. INC. | REPARIAN PARTNERS, DIVISION OF OPPENHEIMER & CO. INC. | PEARL STREET INVESTMENT MANAGEMENT , DIVISION OF OPPENHEIMER & C | OPPENHEIMER & CO. INC. | OMEGA SERVICES PROGRAM | NEWBOLD'S INVESTMENT ADVISORS | FIRST OF MICHIGAN DIVISION | FAHNESTOCK DIVISION OF OPPENHEIMER & CO. INC. | FAHNESTOCK ASSET MANAGEMENT DIVISION OF OPPENHEIMER & CO. INC. | FAHNESTOCK ASSET MANAGEMENT | FAHNESTOCK & CO., INC. | FAHNESTOCK & CO. INC. | EDWARD A. VINER & CO., INC. | CRANBROOK CAPITAL MANAGEMENT, INC.
CRD#: 249 / SEC#: 801-887, 8-4077
RIA
Registered Investment Advisory firm - SEC (2/9/1955 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
85 Broad Street 22nd Floor, New York, NY 10004
Mailing Address
85 Broad Street 22nd Floor, Ny, NY 10004
Phone number
(212) 668-8000
Established
New York since 12/23/1954
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
2,883
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
