Joseph W. Lodato
Professional summary
Joseph William Lodato is a registered financial professional currently at DRIVEWEALTH, LLC located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1989. Joseph has worked at 15 firms and has passed the Series 63, Series 99TO, Series 82TO, Series 7TO, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph William Lodato's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 19, 2026 - Present
DRIVEWEALTH, LLC
Office #1: 28 Liberty Street 50th Floor, New York, NY, 10005November 28, 2023 - August 17, 2026
OCTAURA SECURITIES
March 30, 2023 - November 22, 2023
LIME TRADING CORP
April 4, 2013 - April 22, 2015
GUGGENHEIM ENERGY ADVISORS, LLC
April 1, 2013 - October 27, 2021
GUGGENHEIM SECURITIES, LLC
June 25, 2010 - July 26, 2012
SANFORD C. BERNSTEIN & CO., LLC
September 22, 2008 - June 3, 2010
BARCLAYS CAPITAL INC.
January 3, 2005 - September 22, 2008
LEHMAN BROTHERS INC.
March 15, 2004 - September 13, 2004
CARIS & COMPANY, INC.
November 21, 2000 - March 24, 2004
UNX LLC
October 1, 1997 - November 8, 2000
BANC OF AMERICA SECURITIES LLC
October 11, 1996 - October 1, 1997
MONTGOMERY SECURITIES
December 1, 1994 - October 3, 1996
DB ALEX. BROWN LLC
September 11, 1991 - December 2, 1994
LEHMAN BROTHERS INC.
January 5, 1990 - January 30, 1991
CADARET, GRANT & CO., INC.
August 18, 1989 - February 20, 1992
CARONA & HODGES SECURITIES, INC.
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 99TO
Date: 11/28/2023
Operations Professional ExaminationSeries 82TO
Date: 3/30/2023
Limited Representative-Private Securities OfferingsSeries 7TO
Date: 12/5/2022
General Securities Representative ExaminationSeries 8
Date: 4/30/1993
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
New York Stock Exchange
Current Firm
DRIVEWEALTH, LLC
CRD#: 165429 / SEC#: , 8-69161
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DRIVEWEALTH HOLDINGS, INC. | SOLE MEMBER | |
| BLANGIARDO, ALESSIO | FINANCIAL & OPERATIONS PRINCIPAL | 5600541 |
| ILARIO, ANTHONY | COO | 2262100 |
| LAMKE, JAMES DANIEL | CHIEF COMPLIANCE OFFICER | 1418047 |
| METZGER, BARRY SCOTT | CHIEF EXECUTIVE OFFICER | 4719211 |
| POND, ERIC | ROSFP | 6069469 |
| QUINONES, VINCENT JOSEPH | HEAD OF EXECUTION SERVICES | 4308610 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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