Joseph M. Spillane
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.
Joseph Matthew Spillane, who also goes by Joseph Spillane, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1988. Joseph had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 14, Series 8, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2010 - April 6, 2018
INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
August 29, 2006 - September 23, 2009
ABN AMRO CLEARING USA LLC
November 30, 2000 - January 3, 2011
FORTIS SECURITIES LLC
May 27, 2000 - December 6, 2000
CITIGROUP GLOBAL MARKETS INC.
November 10, 1999 - May 27, 2000
SCHRODER & CO. INC.
July 20, 1995 - November 1, 1999
SCOTIA CAPITAL (USA) INC.
September 30, 1993 - December 15, 1994
DEUTSCHE BANK SECURITIES INC.
October 13, 1988 - September 30, 1993
DEUTSCHE BANK GOVERNMENT SECURITIES, INC
October 5, 1988 - September 30, 1993
DEUTSCHE BANK CAPITAL CORPORATION
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 8
Date: 4/27/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
CRD#: 131487 / SEC#: , 8-66471
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDUSTRIAL AND COMMERCIAL BANK OF CHINA LIMITED | OWNER | |
| CHEN, MING | DEPUTY CHIEF EXECUTIVE OFFICER, FINANCE | 6612667 |
| GU, JIHONG | MANAGER, BOARD OF MANAGERS | 7246351 |
| LONG, HUA | MANAGER, BOARD OF MANAGERS | 7893463 |
| LYU, YU | EXECUTIVE CHAIRMAN, BOARD OF MANAGERS | 8016015 |
| SCHWARTZ, LANNY ALAN | MANAGER, BOARD OF MANAGERS | 2067101 |
| VIRGILIO, ROBERT | CHIEF COMPLIANCE OFFICER | 1464899 |
| ZHU, YOUXI | MANAGER, BOARD OF MANAGERS | 7354740 |
Disclosures
| Regulatory Event | 6 |
| Criminal | 1 |
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.
