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JR

Joyce A. Rosely

MARKETAXESS
New York, NY 10001
Some features on this profile are disabled
CRD#: 2408648
JR

Professional summary

Joyce Ann Rosely, who also goes by Joyce A Cupaiuolo, Joyce Ann Cupaiuolo, Joyce Rosely, is a registered financial professional currently at MARKETAXESS CORPORATION located in New York, New York.

Joyce is registered as a RR (Registered Representative) and started their career in finance in 1993. Joyce has worked at 12 firms and has passed the Series 63, SIE, Series 55, Series 25, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joyce A Cupaiuolo | Joyce Ann Cupaiuolo | Joyce Rosely

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 Joyce Ann Rosely's 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

September 21, 2023 - Present

MARKETAXESS CORPORATION

Office #1: 55 Hudson Yards 15th Floor, New York, NY 10001
BD
CRD#: 44542
New York, NY
Past

November 10, 2023 - May 9, 2025

RFQ-HUB AMERICAS LLC

BD
CRD#: 323377
New York, NY
Past

September 13, 2022 - March 31, 2023

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

February 11, 2019 - August 2, 2022

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
New York, NY
Past

July 19, 2017 - January 4, 2019

TRADEWEB LLC

BD
CRD#: 42759
NEW YORK, NY
Past

March 9, 2015 - April 20, 2017

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

June 12, 2013 - February 17, 2015

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

October 6, 2009 - May 23, 2013

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

January 5, 2007 - October 29, 2009

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

April 12, 2000 - January 23, 2007

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

November 3, 1993 - April 11, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

November 3, 1993 - April 11, 2000

MERRILL LYNCH GOVERNMENT SECURITIES INC.

BD
CRD#: 19693
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
New York
(9/21/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 3/31/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 10/14/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 25
Date: 6/22/1999
NYSE Trading Assistant Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/21/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MARKETAXESS CORPORATION
MARKETAXESS CORPORATION | TRADING EDGE, INC. | RFQ-HUB

CRD#: 44542 / SEC#: , 8-50727

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

Main Address
55 Hudson Yards 15th Floor, New York, NY 10001
Mailing Address
55 Hudson Yards 15th Floor, New York, NY 10001
Phone number
(212) 813-6000
Established
Delaware since 09/12/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MARKETAXESS HOLDINGS INC.SHAREHOLDER
CIANCIULLI, MICHAEL ROBERTPRINCIPAL FINANCIAL OFFICER6980135
CONCANNON, CHRISTOPHER RCHIEF EXECUTIVE OFFICER2169224
PINTOFF, SCOTT ERICGENERAL COUNSEL & CHIEF LEGAL OFFICER6281715
STEINFELD, RON EDWARDCHIEF COMPLIANCE OFFICER5747522

Disclosures

Regulatory Event1

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

MARKETAXESS CORPORATION

CRD#: 44542New York, NY 10001

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