Joseph C. Romeo
Professional summary
Joseph Carlo Romeo was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Joseph had worked at 10 firms, which includes W.A. CAPITAL MARKETS, LCP CAPITAL CORP., MORGAN TAYLOR & ASSOCIATES INC., ROYAL HUTTON SECURITIES CORP., TASIN & COMPANY INC., ASH FINANCIAL CORP., H.J. MEYERS & CO. INC., FIRST ASSET MANAGEMENT INC., INVESTORS ASSOCIATES INC., H G I.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 1998 - June 6, 2001
W.A. CAPITAL MARKETS
December 22, 1997 - December 2, 1998
LCP CAPITAL CORP.
December 17, 1997 - January 2, 1998
MORGAN, TAYLOR & ASSOCIATES, INC.
September 26, 1997 - December 15, 1997
ROYAL HUTTON SECURITIES CORP.
September 2, 1997 - September 26, 1997
TASIN & COMPANY, INC.
June 6, 1997 - August 6, 1997
ASH FINANCIAL CORP.
April 21, 1997 - June 6, 1997
H.J. MEYERS & CO., INC.
May 8, 1996 - August 14, 1996
FIRST ASSET MANAGEMENT, INC.
May 8, 1996 - April 18, 1997
INVESTORS ASSOCIATES, INC.
February 22, 1996 - February 28, 1996
H G I
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
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
Red Flags
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