Joseph Cantatore
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 Cantatore, who also goes by Joe Cantatore, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1993. Joseph had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2015 - November 23, 2015
LEGEND SECURITIES, INC.
May 14, 2013 - May 13, 2015
D. WECKSTEIN & CO., INC.
February 2, 2011 - April 25, 2013
NORTHEAST SECURITIES, LLC
May 29, 2009 - February 12, 2010
LATAM INVESTMENTS, LLC
March 6, 2007 - June 9, 2009
PALI CAPITAL, INC.
July 5, 2002 - March 9, 2007
J.P. MORGAN CLEARING CORP.
November 4, 1996 - March 9, 2007
J.P. MORGAN SECURITIES LLC
October 6, 1993 - February 16, 1996
MORGAN STANLEY & CO. LLC
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
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
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.
