Joseph J. Aliotta
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 Jerry Aliotta, who also goes by Joseph Aliotta, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1990. Joseph had worked at 12 firms and has passed the Series 63, SIE, Series 7 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
December 4, 2015 - June 14, 2016
GARDEN STATE SECURITIES, INC.
July 2, 2013 - December 26, 2013
LAMPERT CAPITAL MARKETS INC.
April 11, 2011 - December 22, 2011
OBSIDIAN FINANCIAL GROUP, LLC
February 8, 2011 - April 8, 2011
WINDSOR STREET CAPITAL, LP
January 20, 1999 - May 6, 1999
TUCKER ANTHONY INCORPORATED
May 29, 1998 - August 11, 1998
LCP CAPITAL CORP.
August 30, 1995 - June 17, 1998
FIRST METROPOLITAN SECURITIES, INC.
September 27, 1994 - April 20, 1995
JOSEPHTHAL & CO., INC.
July 5, 1994 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
January 9, 1993 - July 1, 1994
D. H. BLAIR & CO., INC.
August 20, 1991 - January 14, 1993
LEHMAN BROTHERS INC.
July 12, 1990 - August 22, 1991
GRUNTAL & CO., L.L.C.
April 10, 1990 - August 3, 1990
LEHMAN BROTHERS INC.
March 20, 1990 - March 27, 1990
GRUNTAL & CO., L.L.C.
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
GARDEN STATE SECURITIES, INC.
CRD#: 10083 / SEC#: , 8-25790
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMBROSINO, RAYMOND EDWARD | DIRECTOR/SHAREHOLDER | 2070784 |
| DEROSA, KEVIN JOHN | DIRECTOR/SHAREHOLDER | 2314895 |
| PERROTTO, LOUIS LUCKY JR | DIRECTOR/SHAREHOLDER/CHIEF EXECUTIVE OFFICER | 3053498 |
| SARI, SCOTT HENRY | DIRECTOR/SHAREHOLDER | 2226426 |
| MALONE, PATRICK ANTHONY | CHIEF SUPERVISORY OFFICER | 2143703 |
| MCMULLIN, ROBERT | CHIEF FINANCIAL OFFICER | 1540045 |
| TRIGILI, STEVEN DAVID | CHIEF COMPLIANCE OFFICER | 2232496 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 3 |
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.
