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JW

Joseph Wald

MOSAIC ATS
New York, NY 10014
Some features on this profile are disabled
CRD#: 2448482
JW

Professional summary

Joseph Wald is a registered financial professional currently at MOSAIC ATS, LLC located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1994. Joseph has worked at 10 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Wald'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 22, 2025 - Present

MOSAIC ATS, LLC

Office #1: 875 Washington Street 4th Floor, New York, NY, 10014
BD
CRD#: 335824
New York, NY
Past

April 14, 2020 - May 9, 2024

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
New York, NY
Past

May 9, 2014 - May 9, 2024

CLEARPOOL EXECUTION SERVICES, LLC

BD
CRD#: 168490
New York, NY
Past

December 5, 2013 - May 5, 2014

GAIN SECURITIES

BD
CRD#: 16203
BEDMINSTER, NJ
Past

January 3, 2011 - September 20, 2012

VIRTU AMERICAS LLC

BD
CRD#: 149823
JERSEY CITY, NJ
Past

March 11, 2009 - December 31, 2010

KNIGHT CAPITAL MARKETS LLC

BD
CRD#: 38379
JERSEY CITY, NJ
Past

January 29, 2009 - September 20, 2012

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ
Past

March 17, 2008 - January 3, 2011

KNIGHT DIRECT LLC

BD
CRD#: 135924
JERSEY CITY, NJ
Past

April 30, 1997 - March 20, 2009

EDGETRADE LLC

BD
CRD#: 42071
JERSEY CITY, NJ
Past

May 6, 1994 - July 5, 1995

ICAPITAL MARKETS LLC

BD
CRD#: 5209
OMAHA, NE

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
(11/18/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 4/7/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/16/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/8/1997
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/22/1994
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MA
MOSAIC ATS, LLC
MOSAIC ATS, LLC

CRD#: 335824 / SEC#: , 8-71355

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

Main Address
875 Washington Street 4th Floor, New York, NY 10014
Mailing Address
875 Washington Street 4th Floor, New York, NY 10014
Phone number
(917) 533-5273
Established
Delaware since 03/20/2025
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MOSAIC PLATFORMS, INC.MEMBER
COSENZA, JOHN ALBERTCO-CEO4073037
KANE, PATRICK JOHNCHIEF COMPLIANCE OFFICER4312570
STAMOVA, ILINA SEVDALINOVAFINOP5500851
WALD, JOSEPHCO-CEO2448482

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

MOSAIC ATS, LLC

CRD#: 335824New York, NY 10014

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