Joseph D. Lasala

BROAD STREET CAPITAL MARKETS

Holmdel, NJ 07733

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CRD#: 2108621

Professional summary

Joseph Dominick Lasala III, who also goes by Joseph Dominick Lasala III, is a registered financial professional currently at BROAD STREET CAPITAL MARKETS, LLC located in Holmdel, New Jersey.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1991. Joseph has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joseph Dominick Lasala Iii

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) - BD

Click below to view Joseph Dominick Lasala III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 2, 2025 - Present

BROAD STREET CAPITAL MARKETS, LLC

Office #1: 101 Crawfords Corner Rd Suite 4116, Holmdel, NJ 07733

CRD#: 104026

Holmdel, NJ

Past

May 24, 2004 - May 28, 2024

TD SECURITIES (USA) LLC

CRD#: 18476

NEW YORK, NY

Past

February 24, 2004 - May 14, 2004

CREDITEX GROUP, INC.

CRD#: 47847

NEW YORK, NY

Past

January 4, 2001 - August 9, 2002

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

September 28, 1995 - January 23, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 14, 1991 - December 31, 1994

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/2/2025)

Connecticut
(1/2/2025)

Delaware
(1/2/2025)

Florida
(1/2/2025)

Illinois
(1/2/2025)

Indiana
(1/2/2025)

Massachusetts
(1/2/2025)

Missouri
(1/2/2025)

New Jersey
(1/2/2025)

New York
(1/2/2025)

Ohio
(1/2/2025)

Pennsylvania
(1/2/2025)

Texas
(1/2/2025)

Exams

State Security Law Exam

Series 63

Date: 5/2/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/13/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 1/11/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/25/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BROAD STREET CAPITAL MARKETS, LLC

AMERICAN DIVERSIFIED FINANCIAL GROUP LLC | BROAD STREET CAPITAL MARKETS, LLC

CRD#: 104026 / SEC#: , 8-52487

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

101 Crawfords Corner Rd Suite 4116, Holmdel, NJ 07733

Mailing Address

101 Crawfords Corner Rd Suite 4116, Holmdel, NJ 07733

Phone number

(862) 367-9930

Established

Indiana since 02/03/2000

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (13 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BERGEN CAPITAL ADVISORS, LLC	OWNER
ADDERLY, ANDREW GENE	CEO/CHIEF COMPLIANCE OFFICER	4388648
RANKEL, WILLIAM EDWIN	FINOP/CFO	2074785

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Joseph D. Lasala

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Dominick Lasala III's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD SECURITIES (USA) LLC

CREDITEX GROUP, INC.

UBS SECURITIES LLC

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 5/2/1996

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/13/2000

Series 7

Date: 1/11/1991

Series 24

Date: 1/25/2006

FINRA

Current Firm

BROAD STREET CAPITAL MARKETS, LLC

Contact information

FINRA licenses (13 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BROAD STREET CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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