AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JB

Joseph M. Baudanza

Some features on this profile are disabled
CRD#: 2093000
JB

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

Are you a "fiduciary"?
No

Aliases

None

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

January 28, 2008 - February 12, 2008

CAPITAL GROWTH FINANCIAL, LLC

BD
CRD#: 41040
NEW YORK, NY
Past

March 7, 2006 - March 27, 2006

SOUND SECURITIES, LLC

BD
CRD#: 122677
JERICHO, NY
Past

December 17, 2002 - February 18, 2004

LIGHTSPEED PROFESSIONAL TRADING LLC

BD
CRD#: 39293
NEW YORK, NY
Past

January 12, 2001 - May 31, 2001

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
NEW YORK, NY
Past

May 14, 1998 - July 24, 1998

EMERSON BENNETT & ASSOCIATES

BD
CRD#: 36171
FT. LAUDERDALE, FL
Past

May 9, 1997 - February 10, 1998

BRAUER & ASSOCIATES, INC.

BD
CRD#: 18278
ST. PETERSBURG, FL
Past

January 6, 1997 - June 5, 1997

SHAMUS GROUP, INC.

BD
CRD#: 5036
Past

September 19, 1996 - January 9, 1997

ASH FINANCIAL CORP.

BD
CRD#: 24990
GREAT NECK, NY
Past

October 28, 1991 - October 1, 1996

J.W. BARCLAY & CO., INC.

BD
CRD#: 23350
WOODBRIDGE, NJ
Past

June 5, 1991 - July 23, 1991

COMMONWEALTH ASSOCIATES

BD
CRD#: 20833
NEW YORK, NY

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: 6/12/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 2/11/2003
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/4/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/31/1998
General Securities Principal Examination

Current Firm

CG
CAPITAL GROWTH FINANCIAL, LLC
CAPITAL GROWTH FINANCIAL, LLC | INTERNATIONAL CAPITAL GROWTH, LTD., LLC | INTERNATIONAL CAPITAL GROWTH, LTD., | INTERNATIONAL CAPITAL GROWTH, LTD. | INTERNATIONAL CAPITAL GROWTH, LLC | INTERNATIONAL CAPITAL GROWTH LLC | CGF SECURITIES, LLC

CRD#: 41040 / SEC#: , 8-49268

BD
Terminated by SEC on 04/11/2008
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 02/23/2001
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL GROWTH FINANCIAL, LTD.100% OWNER
FALKEN, MICHAEL BARRYCHIEF COMPLIANCE OFFICER862958
JACOBS, ALAN LAWRENCECHAIRMAN & CEO1032488
JACOBS, MICHAEL SCOTTPRESIDENT & FINOP1818665

Disclosures

Regulatory Event12
Arbitration8

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.

Company Information

CAPITAL GROWTH FINANCIAL, LLC

CRD#: 41040

TRUST BUT VERIFY

Monitor Joseph Baudanza

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.