Joseph A. Falco
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 Falco, who also goes by Giuseppe Falco, Giuseppi Falco, Joseph Falco, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1995. Joseph had worked at 3 firms and has passed the Series 63 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
May 10, 2000 - December 14, 2000
THE REGENCY GROUP, INC.
September 13, 1999 - May 10, 2000
R.D. WHITE & CO., INC.
August 6, 1996 - March 25, 1998
R.D. WHITE & CO., INC.
February 1, 1995 - May 2, 1996
A.S. GOLDMEN & CO., 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
THE REGENCY GROUP, INC.
CRD#: 45216 / SEC#: , 8-50995
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REGENCY HOLDING GROUP, INC. | OWNER | |
| APPELL, DAVID AARON | PRESIDENT, CEO, SROP, CROP, MANAGING DIRECTOR | |
| GRANT, KEITH RAYIGNATIUS | CFO, COO | 2747595 |
| GRILLAS, NICHOLAS DEMETRIOS | DIRECTOR OF COMPLIANCE | 2545323 |
| MAIORANO, DOMINICK ROBERT | HEAD TRADER, ROP, GOV'T SECURITIES PRINCIPAL | |
| SWICKLE, ADAM BRUCE | MANAGING DIRECTOR-SALES, SECRETARY |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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