Joseph Abate
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 Abate was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1991. Joseph had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2011 - March 4, 2022
ADP BROKER-DEALER, INC.
June 7, 2010 - September 9, 2011
ASCENSUS FINANCIAL SERVICES, LLC.
September 16, 2004 - September 28, 2009
ALLIANCEBERNSTEIN INVESTMENTS, INC.
July 5, 2004 - August 30, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 2002 - April 10, 2002
OSAIC WEALTH, INC.
January 13, 2000 - September 4, 2001
OSAIC WEALTH, INC.
May 3, 1999 - December 22, 1999
PARK AVENUE SECURITIES LLC
February 20, 1997 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
February 28, 1991 - January 24, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 28, 1991 - January 24, 1997
EQUITABLE ADVISORS, LLC
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
ADP BROKER-DEALER, INC.
CRD#: 37693 / SEC#: , 8-47885
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADP ATLANTIC, LLC | SHAREHOLDER | |
| BARRENECHEA, PATRICIA MARGOT | FINOP | 1715189 |
| BLAKE, JAMES PATRICK | PRESIDENT, DIRECTOR | 3078844 |
| BOYLE, JAMES RICHARD | AML OFFICER | 3137180 |
| DOSPASSOS-KRIEG, KRISTIN ANNE | DIRECTOR | 3079254 |
| HANLEY, JUANITA DAVIDA | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5217439 |
| HODGES, JEFFRY AARON | DIRECTOR | 5865575 |
| HUREAU, MICHAEL RAY | DIRECTOR | 5990787 |
| MCCUE, TERRANCE | RISK MANAGEMENT OFFICER | 7259942 |
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.
