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JA

Joseph Albano

BUCKLER SECURITIES LLC
Greenwich, CT 06831
Some features on this profile are disabled
CRD#: 2190076
JA

Professional summary

Joseph Albano is a registered financial professional currently at BUCKLER SECURITIES LLC located in Greenwich, Connecticut.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1998. Joseph has worked at 4 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 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 Albano's 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

May 15, 2025 - Present

BUCKLER SECURITIES LLC

Office #1: 5 Greenwich Office Park, Suite 350, Greenwich, CT 06831
BD
CRD#: 284576
Greenwich, CT
Past

November 9, 2001 - December 5, 2024

ING FINANCIAL MARKETS LLC

BD
CRD#: 28872
NEW YORK, NY
Past

August 15, 2000 - April 30, 2001

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

July 13, 1998 - June 30, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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
Arizona
(5/15/2025)
RR
California
(5/15/2025)
RR
Connecticut
(5/15/2025)
RR
Delaware
(5/15/2025)
RR
Florida
(5/15/2025)
RR
Illinois
(5/15/2025)
RR
Maryland
(5/15/2025)
RR
Massachusetts
(5/15/2025)
RR
Missouri
(5/15/2025)
RR
New Jersey
(5/15/2025)
RR
New York
(5/15/2025)
RR
North Carolina
(5/15/2025)
RR
Ohio
(5/16/2025)
RR
Pennsylvania
(5/15/2025)
RR
Texas
(5/15/2025)
RR
Wisconsin
(5/15/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/21/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/12/2013
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/4/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/16/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BUCKLER SECURITIES LLC
BUCKLER SECURITIES LLC

CRD#: 284576 / SEC#: , 8-69807

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

Main Address
5 Greenwich Office Park, Suite 350, Greenwich, CT 06831
Mailing Address
5 Greenwich Office Park, Suite 350, Greenwich, CT 06831
Phone number
(203) 633-2225
Established
Delaware since 04/28/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ARMOUR CAPITAL MANAGEMENT LPSHAREHOLDER164570
ARMOUR TRS INCSHAREHOLDER
CONIGLIARIO, THOMAS JOSEPHCHIEF OPERATING OFFICER / PRINCIPLE OPERATIONS OFFICER1366831
ESANNASON, CARLO YVANCCO4869110
HARPER, GORDON MACKAYCHIEF FINANCIAL OFFICER6632019
JOSHI, JAI PAULCHIEF RISK OFFICER2263070
KOKKO, LASSE ARTTURIPRINCIPLE FINANCIAL OFFICER ("PFO") / FINOP6976957
MISIANO, RICHARD JOHNCHIEF EXECUTIVE OFFICER2339879
ULM, SCOTT JEFFREYPRINCIPAL1575205

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

BUCKLER SECURITIES LLC

CRD#: 284576Greenwich, CT 06831

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