Joseph M. Rossetti
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 Michael Rossetti SR, who also goes by Joseph Michael Rossetti, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1992. Joseph had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 1997 - February 15, 2000
ROYAL HUTTON SECURITIES CORP.
July 14, 1995 - March 28, 1997
TOLUCA PACIFIC SECURITIES CORP.
February 24, 1993 - July 11, 1995
HANOVER, STERLING & COMPANY LTD.
September 28, 1992 - March 4, 1993
D. H. BLAIR & CO., INC.
May 20, 1992 - October 27, 1992
HANOVER, STERLING & COMPANY LTD.
April 23, 1992 - May 20, 1992
GRUNTAL & CO., L.L.C.
April 20, 1992 - May 4, 1992
JOSEPHTHAL & CO., 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
Current Firm
ROYAL HUTTON SECURITIES CORP.
CRD#: 14489 / SEC#: , 8-30742
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 9 |
| Bond | 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.
