Joseph J. Cantone
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 John Cantone, who also goes by Joe Cantone, Joey Cantone, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1992. Joseph had worked at 15 firms and has passed the Series 63, SIE, Series 55 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
October 17, 2012 - December 17, 2014
THE VERTICAL GROUP
January 5, 2011 - July 31, 2012
ELEVATION, LLC
August 27, 2008 - July 6, 2010
MCBARRON CAPITAL LLC
May 12, 2008 - May 29, 2008
MCBARRON CAPITAL LLC
August 16, 2007 - March 24, 2008
NATIONAL SECURITIES CORPORATION
October 27, 2006 - June 28, 2007
GUNNALLEN FINANCIAL, INC
November 11, 2005 - November 22, 2006
BROOKSTREET SECURITIES CORPORATION
January 7, 2004 - September 7, 2005
FIRST MONTAUK SECURITIES CORP.
November 21, 2002 - January 9, 2004
MAXIM GROUP LLC
April 12, 2002 - November 25, 2002
RYAN BECK & CO.
November 17, 2000 - May 9, 2002
H.C.WAINWRIGHT & CO., LLC
September 15, 1997 - November 22, 2000
GKN SECURITIES CORP.
January 12, 1994 - August 19, 1997
GRUNTAL & CO., L.L.C.
March 8, 1993 - January 26, 1994
PRIME CHARTER LTD.
October 8, 1992 - February 5, 1993
UBS FINANCIAL SERVICES INC.
June 29, 1992 - July 10, 1992
CIBC WORLD MARKETS CORP.
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 55
Date: 10/4/2014
Limited Representative-Equity Trader ExamCurrent Firm
THE VERTICAL GROUP
CRD#: 104353 / SEC#: , 8-52814
Contact information
FINRA licenses (30 States and Territories)
Documents
Disclosures
| Regulatory Event | 13 |
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.
