Joseph M. Baudanza
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 Mario Baudanza was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1991. Joseph had worked at 10 firms and has passed the Series 63, Series 55, 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
January 28, 2008 - February 12, 2008
CAPITAL GROWTH FINANCIAL, LLC
March 7, 2006 - March 27, 2006
SOUND SECURITIES, LLC
December 17, 2002 - February 18, 2004
LIGHTSPEED PROFESSIONAL TRADING LLC
January 12, 2001 - May 31, 2001
WINDSOR STREET CAPITAL, LP
May 14, 1998 - July 24, 1998
EMERSON BENNETT & ASSOCIATES
May 9, 1997 - February 10, 1998
BRAUER & ASSOCIATES, INC.
January 6, 1997 - June 5, 1997
SHAMUS GROUP, INC.
September 19, 1996 - January 9, 1997
ASH FINANCIAL CORP.
October 28, 1991 - October 1, 1996
J.W. BARCLAY & CO., INC.
June 5, 1991 - July 23, 1991
COMMONWEALTH ASSOCIATES
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: 2/11/2003
Limited Representative-Equity Trader ExamCurrent Firm
CAPITAL GROWTH FINANCIAL, LLC
CRD#: 41040 / SEC#: , 8-49268
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 8 |
Red Flags
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