AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JS

Joseph R. Stauff

SUSQUEHANNA FINANCIAL GROUP, LLLP
STAMFORD, CT 06901
Some features on this profile are disabled
CRD#: 2445226
JS

Professional summary

Joseph Robert Stauff II, who also goes by Joe Stauff, Joseph Robert Stauff, Joseph Stauff, is a registered financial professional currently at SUSQUEHANNA FINANCIAL GROUP, LLLP located in Stamford, Connecticut.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1999. Joseph has worked at 7 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joe Stauff | Joseph Robert Stauff | Joseph Stauff

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 Joseph Robert Stauff II'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

April 12, 2010 - Present

SUSQUEHANNA FINANCIAL GROUP, LLLP

Office #1: 1 Stamford Plaza Suite 1501, Stamford, CT 06901
BD
CRD#: 35865
STAMFORD, CT
Past

November 29, 2004 - March 8, 2010

CRT CAPITAL GROUP LLC

BD
CRD#: 28830
STAMFORD, CT
Past

August 16, 2004 - November 9, 2004

SOUNDVIEW TECHNOLOGY CORPORATION

BD
CRD#: 15425
OLD GREENWICH, CT
Past

May 28, 2004 - August 16, 2004

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

June 3, 2003 - May 28, 2004

SOUNDVIEW TECHNOLOGY CORPORATION

BD
CRD#: 15425
OLD GREENWICH, CT
Past

March 8, 2000 - May 23, 2003

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

January 7, 2000 - March 14, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

June 2, 1999 - December 23, 1999

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
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
(4/12/2010)
RR
Pennsylvania
(4/12/2010)

Exams

State Security Law Exam
RR
Series 63
Date: 5/12/1999
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 87
Date: 2/26/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 10/18/2004
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 6/1/1999
General Securities Representative Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC

Current Firm

SF
SUSQUEHANNA FINANCIAL GROUP, LLLP
FOREST LANE SECURITIES, INC. | SUSQUEHANNA FINANCIAL GROUP, LLLP | SUSQUEHANNA FINANCIAL GROUP, L.P. | SUSQUEHANNA FINANCIAL GROUP, INC.

CRD#: 35865 / SEC#: , 8-44325

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
Loading...

Contact information

Main Address
401 City Ave Suite 220, Bala Cynwyd, PA 19004-1122
Mailing Address
401 City Ave Suite 220, Bala Cynwyd, PA 19004-1122
Phone number
(800) 825-9550
Established
Delaware since 07/25/2002
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
SFG HOLDING, LLCLIMITED PARTNER
DAMATO, DANIEL DAVID IIFINOP7430998
DANIELS, ETHAN SCOTTPOO5902179
KRASNICK, ALAN JONATHANMUNICIPAL SECURITIES PRINCIPAL4606571
MCENTEE, ROBERT FRANCIS JR.CHIEF COMPLIANCE OFFICER4722705
SFG PARTNER LLCGENERAL PARTNER
WOOD, NICHOLAS HPRESIDENT2626078

Disclosures

Regulatory Event12

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

SUSQUEHANNA FINANCIAL GROUP, LLLP

CRD#: 35865Stamford, CT 06901

TRUST BUT VERIFY

Monitor Joseph Stauff

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Randy Brickman
Randy BrickmanAdvisorCheck Check Mark
PARK AVENUE SECURITIES LLC
IAR
RR
NORTH WOODMERE, NY
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Brian Joseph Marchini
Brian MarchiniAdvisorCheck Check Mark
LPL ENTERPRISE, LLC
IAR
RR
White Plains, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.