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JA

Joseph J. Adamo

Some features on this profile are disabled
CRD#: 2016233
JA

Professional summary

Joseph James Adamo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Joseph is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Joseph had worked at 4 firms, which includes NEBS FINANCIAL SERVICES INC., INVESTACORP INC., FINANCIAL AMERICA SECURITIES INC., A. T. BROD & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph J Adamo | Joseph Adamo

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)

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®
None

Experience

Past

April 26, 2000 - December 31, 2004

NEBS FINANCIAL SERVICES, INC.

BD
CRD#: 103874
CLEVELAND, OH
Past

August 22, 1997 - May 1, 2000

INVESTACORP, INC.

BD
CRD#: 7684
MIAMI, FL
Past

February 2, 1996 - March 27, 1997

FINANCIAL AMERICA SECURITIES, INC.

BD
CRD#: 5100
CLEVELAND, OH
Past

September 27, 1993 - March 31, 1995

A. T. BROD & CO. INC.

BD
CRD#: 1319
CLEVELAND, OH

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: 10/11/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/25/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 12/8/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/9/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/6/1997
Financial and Operations Principal Examination

Current Firm

NF
NEBS FINANCIAL SERVICES, INC.
NEBS FINANCIAL SERVICES, INC.

CRD#: 103874 / SEC#: , 8-52365

BD
Cancelled by SEC on 01/31/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Ohio since 03/31/1997
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
NEBSONLINEOWNER
ADAMO, JOSEPH JAMESFINOP, TREASURER, PRINCIPAL2016233
KOSINSKI, BRUCE CARLPRESIDENT, PRINCIPAL, DIRECTOR871771
KOSINSKI, EILEEN LSECRETARY, DIRECTOR3268981
WUNDERLICH, RICHARD LEE JRCHIEF COMPLIANCE OFFICER

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

NEBS FINANCIAL SERVICES, INC.

CRD#: 103874

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