Joseph F. Vuolo
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 Francis Vuolo was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1992. Joseph had worked at 5 firms and has passed the Series 55, Series 7, Series 14A, Series 24, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2011 - September 6, 2012
NATIXIS SECURITIES AMERICAS LLC
July 1, 2003 - October 3, 2011
NATIXIS SECURITIES NORTH AMERICA INC.
June 5, 2000 - July 18, 2002
BROADCORT CAPITAL CORP.
April 16, 1993 - August 12, 1993
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
April 16, 1993 - June 30, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 5, 1992 - July 29, 1993
BROADCORT CAPITAL CORP.
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
Series 55
Date: 7/20/1998
Limited Representative-Equity Trader ExamSeries 14A
Date: 12/25/1994
Compliance Official Specialist ExamSeries 8
Date: 9/30/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NATIXIS SECURITIES AMERICAS LLC
CRD#: 1101 / SEC#: 801-72849, 8-719
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIXIS NORTH AMERICA LLC | PARENT COMPANY/MANAGING MEMBER | |
| BRIGGS, DANIEL CRAIG | PRINCIPAL OPERATIONS OFFICER | 1250311 |
| BUSSY, STEPHANE NMN | DIRECTOR ON BOARD OF DIRECTORS | 7336982 |
| CANEL, THIERRY JACQUES | DIRECTOR ON BOARD OF DIRECTORS | 7818166 |
| CHAUDHURI, SUPRIO NMN | CHIEF COMPLIANCE OFFICER | 4659711 |
| DELAY, OLIVIER JACQUES | CHIEF EXECUTIVE OFFICER/DIRECTOR ON BOARD OF DIRECTORS | 4720716 |
| ISSANCHOU, EMMANUEL | HEAD OF GLOBAL MARKETS AMERICAS | 7338402 |
| LAMBRIANIDIS, OTTO NICK | PRINCIPAL FINANCIAL OFFICER | 2213741 |
| MORAVEC, MICHAEL CHRISTOPHER | HEAD OF INVESTMENT BANKING AMERICAS | 2968921 |
| SHARPE, THOMAS GEORGE | CHIEF LEGAL OFFICER | 7047152 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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