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JL

Joseph W. Lodato

OCTAURA SECURITIES
New York, NY 10001
Some features on this profile are disabled
CRD#: 1931988
JL

Professional summary

Joseph William Lodato is a registered financial professional currently at OCTAURA SECURITIES 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 14 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.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph William Lodato'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

November 28, 2023 - Present

OCTAURA SECURITIES

Office #1: 5 Pennsylvania Plaza 6 Floor South, New York, NY 10001
BD
CRD#: 321877
New York, NY
Past

March 30, 2023 - November 22, 2023

LIME TRADING CORP

BD
CRD#: 11826
NEW YORK, NY
Past

April 4, 2013 - April 22, 2015

GUGGENHEIM ENERGY ADVISORS, LLC

BD
CRD#: 159397
NEW YORK, NY
Past

April 1, 2013 - October 27, 2021

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

June 25, 2010 - July 26, 2012

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
NASHVILLE, TN
Past

September 22, 2008 - June 3, 2010

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

January 3, 2005 - September 22, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

March 15, 2004 - September 13, 2004

CARIS & COMPANY, INC.

BD
CRD#: 104235
SAN DIEGO, CA
Past

November 21, 2000 - March 24, 2004

UNX LLC

BD
CRD#: 46145
BURBANK, CA
Past

October 1, 1997 - November 8, 2000

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

October 11, 1996 - October 1, 1997

MONTGOMERY SECURITIES

BD
CRD#: 4357
SAN FRANCISCO, CA
Past

December 1, 1994 - October 3, 1996

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

September 11, 1991 - December 2, 1994

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

January 5, 1990 - January 30, 1991

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
SYRACUSE, NY
Past

August 18, 1989 - February 20, 1992

CARONA & HODGES SECURITIES, INC.

BD
CRD#: 17579

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
RR
Series 63
Date: 8/28/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 11/28/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 82TO
Date: 3/30/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 7TO
Date: 12/5/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/15/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/5/2022
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 4/30/1993
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

OS
OCTAURA SECURITIES
OCTAURA SECURITIES | OCTAURA SECURITIES TRADINGCO LLC

CRD#: 321877 / SEC#: , 8-70933

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

Main Address
5 Pennsylvania Plaza 6 Floor South, New York, NY 10001
Mailing Address
5 Pennsylvania Plaza 6 Floor South, New York, NY 10001
Phone number
(212) 397-6133
Established
Delaware since 04/25/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
OCTAURA HOLDINGS LLCSOLE MEMBER
BEJILE, BRIAN [NMM]CHIEF EXECUTIVE OFFICER4829191
COHEN, JASON TODDCOO/ CFO AND FINOP4270310
LODATO, JOSEPH WILLIAMCHIEF COMPLIANCE OFFICER1931988

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.

Company Information

OCTAURA SECURITIES

CRD#: 321877New York, NY 10001

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