Joseph J. Tuozzo
Professional summary
Joseph J Tuozzo was barred by the SEC 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 4 firms, which includes PACIFIC CORTEZ SECURITIES INCORPORATED, ALEX MOORE & COMPANY INC., H G I, JOSEPHTHAL & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 1997 - December 31, 1997
PACIFIC CORTEZ SECURITIES INCORPORATED
September 8, 1997 - September 11, 1997
ALEX MOORE & COMPANY, INC.
October 16, 1992 - January 28, 1998
H G I
August 4, 1992 - October 15, 1992
JOSEPHTHAL & CO., INC.
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
PACIFIC CORTEZ SECURITIES INCORPORATED
CRD#: 24341 / SEC#: , 8-38514
Contact information
Documents
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.
