Joseph O. Troy
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 Obrien Troy, who also goes by Joseph O'brien Troy, Joseph Obrien Troy, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1994. Joseph had worked at 10 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 31, Series 7, Series 55 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2023 - May 5, 2026
ICAPITAL MARKETS LLC
June 26, 2023 - November 30, 2023
ICAPITAL SECURITIES, LLC
July 15, 2021 - September 27, 2022
KARPUS INVESTMENT MANAGEMENT
November 3, 2017 - March 16, 2018
DISTRIBUTION SERVICES, LLC
December 3, 2014 - November 12, 2015
HATTERAS CAPITAL DISTRIBUTORS, LLC
April 14, 2011 - April 16, 2014
MESIROW FINANCIAL, INC.
January 18, 2007 - September 7, 2007
FORESIDE FUND SERVICES, LLC
January 1, 2006 - January 8, 2007
UBS FINANCIAL SERVICES INC.
January 14, 2004 - July 28, 2004
PRUDENTIAL EQUITY GROUP, LLC
May 11, 2000 - December 31, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 12, 1994 - May 2, 2000
MORGAN STANLEY & CO. LLC
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
Series 7TO
Date: 6/26/2023
General Securities Representative ExaminationSeries 55
Date: 7/6/2000
Limited Representative-Equity Trader ExamCurrent Firm
ICAPITAL MARKETS LLC
CRD#: 118219 / SEC#: , 8-53640
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
