Joseph A. Pisarcik
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 Anthony Pisarcik, who also goes by Joe Pisarcik, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1993. Joseph had worked at 7 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2004 - February 27, 2013
ICAP SECURITIES USA LLC
March 4, 2004 - February 27, 2013
TP ICAP GLOBAL MARKETS AMERICAS LLC
February 27, 2004 - March 4, 2004
TP ICAP GLOBAL MARKETS AMERICAS LLC
September 17, 2002 - February 19, 2004
LEGG MASON WOOD WALKER, INCORPORATED
November 20, 2000 - February 19, 2004
LEGG MASON WOOD WALKER, INCORPORATED
May 1, 2000 - December 4, 2000
NEW ENGLAND SECURITIES
October 15, 1999 - January 11, 2000
CHAPDELAINE CORPORATE SECURITIES & CO
May 24, 1995 - December 5, 1996
LIBERTY BROKERS
June 3, 1993 - September 28, 1998
TULLETT PREBON FINANCIAL SERVICES 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
ICAP SECURITIES USA LLC
CRD#: 19739 / SEC#: , 8-37947
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICAP GLOBAL BROKING INC. | SOLE MEMBER | |
| BERNARDO, SHAWN FRANCIS | CEO | 2513376 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GOULET, STEPHEN PAUL | SENIOR MANAGING DIRECTOR/GENERAL COUNSEL/SECRETARY | 4769810 |
| MURPHY, GREGORY FRANCIS | CHIEF OPERATING OFFICER | 1483320 |
| PEZEU, CHRISTIAN JEAN MICHEL | PRINCIPAL FINANCIAL OFFICER | 5661987 |
Disclosures
| Regulatory Event | 3 |
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.
