Joseph R. D'auria
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 R D'auria, who also goes by Joseph R Dauria, Joseph Richard Dauria, D'auria R Joseph R, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1996. Joseph had worked at 10 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2012 - January 21, 2025
JEFFERIES LLC
October 7, 2009 - October 4, 2012
MORGAN STANLEY
July 1, 2009 - October 4, 2012
MORGAN STANLEY & CO. LLC
June 26, 2009 - June 30, 2009
MORGAN STANLEY & CO. LLC
June 1, 2009 - July 14, 2009
MORGAN STANLEY
October 29, 2007 - October 4, 2012
PRIME DEALER SERVICES CORP.
October 29, 2007 - October 4, 2012
MS SECURITIES SERVICES INC.
September 6, 2007 - June 7, 2010
INVESCO CAPITAL MARKETS, INC.
September 6, 2007 - October 5, 2011
MORGAN STANLEY DISTRIBUTORS INC.
September 6, 2007 - October 4, 2012
MORGAN STANLEY DISTRIBUTION, INC.
March 25, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
October 6, 2003 - October 30, 2008
MORGAN STANLEY MARKET PRODUCTS INC.
April 9, 1996 - June 1, 2009
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
JEFFERIES LLC
CRD#: 2347 / SEC#: , 8-15074
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JEFFERIES FINANCIAL GROUP INC | DIRECT OWNER | |
| CAGNO, MARK LAWRENCE | GLOBAL CONTROLLER, MANAGING DIRECTOR | 2510148 |
| FISCELLA, MICHAEL EUGENE | GLOBAL HEAD OF OPERATIONS, MANAGING DIRECTOR | 2490187 |
| FORLENZA, PETER CHARLES | GLOBAL HEAD OF EQUITIES, MANAGING DIRECTOR | 2366985 |
| FRIEDMAN, BRIAN PAUL | DIRECTOR AND CHAIRMAN, EXECUTIVE COMMITTEE | 1298550 |
| HANDLER, RICHARD BRIAN | CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1563245 |
| LARSON, MATTHEW SCOTT | EXECUTIVE VICE PRESIDENT AND CFO/ PRINCIPAL FINANCIAL OFFICER | 2605152 |
| SCORAN, LAURI A | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR | 2060170 |
| SHARP, MICHAEL JAMES | GENERAL COUNSEL, SECRETARY, EXECUTIVE VICE PRESIDENT | 1013864 |
| STACCONI, JOHN FRANCO | TREASURER | 1814227 |
Disclosures
| Regulatory Event | 133 |
| Arbitration | 4 |
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.
