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JA

Joseph D. Apisa

CANACCORD GENUITY LLC
Manasquan, NJ 08736
Some features on this profile are disabled
CRD#: 2282161
JA

Professional summary

Joseph Dominick Apisa, who also goes by Joe Apisa, Joey Apisa, Joseph D Apisa, is a registered financial professional currently at CANACCORD GENUITY LLC located in Manasquan, New Jersey and CANTOR FITZGERALD & CO. located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1995. Joseph has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joe Apisa | Joey Apisa | Joseph D Apisa

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Dominick Apisa's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 9, 2024 - Present

CANACCORD GENUITY LLC

Office #1: 1913 Atlantic Avenue Suite 127, Manasquan, NJ 08736Office #2: One Pennsylvania Plaza Suite 2900, New York, NY 10119
BD
CRD#: 1020
Manasquan, NJ
Current

November 10, 2025 - Present

CANTOR FITZGERALD & CO.

Office #1: 110 East 59th Street 4 Floor Itd, New York, NY 10022
BD
CRD#: 134
New York, NY
Past

May 14, 2020 - April 8, 2024

MORGAN STANLEY

RIA
CRD#: 149777
New York, NY
Past

November 22, 2013 - June 9, 2021

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

June 1, 2009 - April 8, 2024

MORGAN STANLEY

BD
CRD#: 149777
New York, NY
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
JERSEY CITY, NJ
Past

March 14, 2007 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
JERSEY CITY, NJ
Past

January 26, 2005 - September 29, 2006

EVOLUTION FINANCIAL TECHNOLOGIES, LLC

BD
CRD#: 104249
NEW YORK, NY
Past

August 19, 2003 - March 15, 2004

EVOLUTION FINANCIAL TECHNOLOGIES, LLC

BD
CRD#: 104249
ISELIN, NJ
Past

September 5, 1995 - January 14, 2002

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(5/9/2024)
RR
Colorado
(5/9/2024)
RR
Connecticut
(5/9/2024)
RR
Florida
(5/9/2024)
RR
Massachusetts
(5/9/2024)
RR
Missouri
(5/9/2024)
RR
Nebraska
(5/9/2024)
RR
New Jersey
(5/9/2024)
RR
New York
(5/9/2024)
RR
Pennsylvania
(5/9/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/12/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/15/2005
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/1/1995
General Securities Representative Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

CANTOR FITZGERALD & CO.
CANTOR FITZGERALD & CO.
CANTOR DIRECT A DIVISION OF CANTOR FITZGERALD & CO. | CANTOR, FITZGERALD & CO., INC. | CANTOR FITZGERALD & CO.

CRD#: 134 / SEC#: , 8-201

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
110 East 59th Street 4th Floor, New York, NY, 10022
Mailing Address
110 East 59th Street 4th Floor, New York, NY, 10022
Phone number
(212) 938-5000
Established
New York since 09/25/1992
Firm type
Partnership
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CFS CF & CO I HOLDINGS, L.P.MANAGING GENERAL PARTNER
ANZALONE, THOMAS JOSEPHCHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER1161513
BANDELIER, PASCAL DANIELCO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES4424051
CFLP CF&CO I HOLDINGS, L.P.LIMITED PARTNER
KELLY, SAGE NOLANCO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING2528122
MERKEL, STEPHEN MARCUSEXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY2366318
SALINAS, DANNYCHIEF FINANCIAL OFFICER6184109
SHIELDS, WILLIAM MICHAELCHIEF COMPLIANCE OFFICER2380166
WALL, CHRISTIAN DOUGLASCO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME2751397

Disclosures

Regulatory Event97

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.

Company Information

CANTOR FITZGERALD & CO.

CANTOR FITZGERALD & CO.

CRD#: 134Manasquan, NJ 08736

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