Joseph J. Piscopo
Professional summary
Joseph John Piscopo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Joseph had worked at 5 firms, which includes THE REGENCY GROUP INC., R.D. WHITE & CO. INC., ASH FINANCIAL CORP., TOLUCA PACIFIC SECURITIES CORP., A.S. GOLDMEN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2000 - March 13, 2001
THE REGENCY GROUP, INC.
January 23, 1997 - May 10, 2000
R.D. WHITE & CO., INC.
November 1, 1996 - January 9, 1997
ASH FINANCIAL CORP.
April 30, 1996 - September 14, 1996
TOLUCA PACIFIC SECURITIES CORP.
May 6, 1992 - May 2, 1996
A.S. GOLDMEN & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
THE REGENCY GROUP, INC.
CRD#: 45216 / SEC#: , 8-50995
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REGENCY HOLDING GROUP, INC. | OWNER | |
| APPELL, DAVID AARON | PRESIDENT, CEO, SROP, CROP, MANAGING DIRECTOR | |
| GRANT, KEITH RAYIGNATIUS | CFO, COO | 2747595 |
| GRILLAS, NICHOLAS DEMETRIOS | DIRECTOR OF COMPLIANCE | 2545323 |
| MAIORANO, DOMINICK ROBERT | HEAD TRADER, ROP, GOV'T SECURITIES PRINCIPAL | |
| SWICKLE, ADAM BRUCE | MANAGING DIRECTOR-SALES, SECRETARY |
Red Flags
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