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JC

Joseph Cianci

COHEN & COMPANY SECURITIES
New York, NY 10019
Some features on this profile are disabled
CRD#: 2168637
JC

Professional summary

Joseph Cianci is a registered financial professional currently at COHEN & COMPANY SECURITIES, LLC located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1992. Joseph has worked at 11 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 10, Series 9, Series 53, Series 24, Series 4 and Series 8 exams.

top-8-questions

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) - BD

Click below to view Joseph Cianci'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

June 15, 2012 - Present

COHEN & COMPANY SECURITIES, LLC

Office #1: 3 Columbus Circle 24th Floor, New York, NY 10019
BD
CRD#: 149758
New York, NY
Past

October 29, 2013 - January 31, 2014

JVB FINANCIAL GROUP, LLC

BD
CRD#: 104412
NEW YORK, NY
Past

March 3, 2009 - February 8, 2011

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

November 30, 2006 - January 3, 2007

TCF INVESTMENTS, INC.

BD
CRD#: 34954
PURCHASE, NY
Past

November 6, 2006 - August 29, 2008

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

December 11, 2004 - October 30, 2006

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

March 7, 2002 - December 2, 2003

TRUSTED SECURITIES ADVISORS CORP.

BD
CRD#: 24049
NEW YORK, NY
Past

June 9, 2000 - September 9, 2004

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

May 3, 1999 - September 22, 1999

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY
Past

October 2, 1998 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

February 4, 1992 - June 8, 1998

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE

State Registrations and Notice Filings

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

RR
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

RR
Florida
(6/15/2012)
RR
New York
(6/15/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 10/24/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/10/2005
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/12/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/28/2006
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/24/2002
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/4/1999
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 9/26/1997
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

C&
COHEN & COMPANY SECURITIES, LLC
C & CO/PRINCERIDGE GROUP LLC | VINSONFORBES & CO. LLC | THE PRINCERIDGE GROUP LLC | J.V.B. FINANCIAL GROUP, LLC | COHEN & COMPANY SECURITIES, LLC | C & CO/PRINCERIDGE LLC

CRD#: 149758 / SEC#: , 8-68186

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
3 Columbus Circle 24th Floor, New York, NY 10019
Mailing Address
3 Columbus Circle 24th Floor, New York, NY 10019
Phone number
(646) 792-5600
Established
Delaware since 12/05/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
J.V.B. FINANCIAL GROUP HOLDINGS, LP.SOLE MEMBER
BRAFMAN, LESTER RAYMONDCHIEF EXECUTIVE OFFICER1895749
BURKLIN, STEPHAN GEORGEEXECUTIVE VICE PRESIDENT1808970
LISTMAN, DOUGLASCFO5894307
VACCA, KATHARINE ELIZABETHCHIEF COMPLIANCE OFFICER1821586

Disclosures

Regulatory Event6

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

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758New York, NY 10019

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