Dean A. Esposito
Professional summary
Dean Anthony Esposito, who also goes by Dean A Esposito, is a registered financial professional currently at WALL STREET ACCESS located in Park Ridge, New Jersey.
Dean is registered as a RR (Registered Representative) and started their career in finance in 1995. Dean has worked at 6 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dean Anthony Esposito's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 11, 2024 - Present
WALL STREET ACCESS
Office #1: One Maynard Drive Suite 2201, Park Ridge, NJ 07656Office #2: 766 Shrewsbury Avenue, Tinton Falls, NJ 07724July 13, 2016 - July 15, 2024
CREDIT SUISSE SECURITIES (USA) LLC
July 25, 2012 - July 8, 2016
WALL STREET ACCESS
May 27, 2011 - July 24, 2012
RODMAN & RENSHAW, LLC
May 20, 2008 - May 27, 2011
HUDSON SECURITIES,INC.
March 28, 2005 - May 28, 2008
UBS SECURITIES LLC
March 22, 1995 - February 15, 2006
UBS CAPITAL MARKETS L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/11/2024)
(9/11/2024)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 4/2/1999
Limited Representative-Equity Trader ExamFINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
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.
