Joseph M. Nicoletta
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 Mario Nicoletta was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1992. Joseph had worked at 10 firms and has passed the Series 63, Series 66, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2016 - August 11, 2020
ASSETMARK BROKERAGE, LLC
November 11, 2015 - August 11, 2020
ASSETMARK, INC.
October 2, 2006 - October 1, 2015
ARIS WEALTH SERVICES INC
March 1, 2001 - November 16, 2004
SAFEGUARD SECURITIES, INC.
October 1, 2000 - March 9, 2001
WELLS FARGO CLEARING SERVICES, LLC
June 12, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
April 25, 2000 - June 8, 2000
PNC BROKERAGE CORP
October 21, 1998 - April 24, 2000
SUMMIT FINANCIAL SERVICES GROUP, INC.
November 6, 1997 - October 21, 1998
FISERV INVESTOR SERVICES, INC.
November 3, 1992 - November 19, 1997
SECURIAN FINANCIAL SERVICES, 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
ASSETMARK BROKERAGE, LLC
CRD#: 169804 / SEC#: , 8-69391
Contact information
FINRA licenses (53 States and Territories)
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.
