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JM

Joseph F. Masters

Some features on this profile are disabled
CRD#: 2521686
JM

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 Francis Masters, who also goes by Joseph Francis Masters Jr, Joseph Masters, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1995. Joseph had worked at 12 firms and has passed the Series 63, SIE, Series 25 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph Francis Masters Jr | Joseph Masters

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 28, 2018 - August 27, 2018

PRIME EXECUTIONS, INC.

BD
CRD#: 32889
NEW YORK, NY
Past

June 30, 2017 - March 26, 2018

DRIVEWEALTH INSTITUTIONAL LLC

BD
CRD#: 33038
NEW YORK, NY
Past

April 25, 2016 - June 27, 2017

WALL STREET ACCESS

BD
CRD#: 10012
NEW YORK, NY
Past

February 7, 2013 - May 16, 2016

CLANCY FINANCIAL SERVICES, INC.

BD
CRD#: 133379
NEW YORK, NY
Past

February 4, 2013 - May 4, 2016

DERMOTT W. CLANCY CORP.

BD
CRD#: 37451
NEW YORK, NY
Past

September 1, 2009 - January 31, 2013

THE GRISWOLD COMPANY, INCORPORATED

BD
CRD#: 32944
NEW YORK, NY
Past

April 15, 2002 - August 31, 2009

TRADITION SECURITIES AND DERIVATIVES LLC

BD
CRD#: 28269
NEW YORK, NY
Past

March 1, 2002 - April 19, 2002

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

April 30, 2001 - March 1, 2002

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

May 26, 2000 - April 30, 2001

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

April 9, 1999 - June 13, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

January 5, 1996 - March 26, 1998

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

March 21, 1995 - December 14, 1995

PERSHING ADVISOR SOLUTIONS LLC

BD
CRD#: 36671
JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/19/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/27/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 25
Date: 12/8/1999
NYSE Trading Assistant Examination
General Industry/Product Exam
RR
Series 7
Date: 3/20/1995
General Securities Representative Examination

Current Firm

PE
PRIME EXECUTIONS, INC.
FREEDOM CAPITAL MARKETS | SILVERMAN BROTHERS, INC. | PRIME EXECUTIONS, INC. | FREEDOM STRATEGIC SOLUTIONS

CRD#: 32889 / SEC#: , 8-43985

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

Main Address
40 Wall Street - 58th Floor, New York, NY 10005
Mailing Address
40 Wall Street - 58th Floor, New York, NY 10005
Phone number
(212) 980-4400
Established
Delaware since 11/12/1987
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (36 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FREEDOM HOLDING CORP.HOLDING COMPANY
AGUIAR, ALBERTINTERIM CEO2947566
CARON, WAYNE ROGERCCO1422911
CHASKIN, DAVID RCFO, FINOP, POO, PFO5306238

Disclosures

Regulatory Event2

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

PRIME EXECUTIONS, INC.

CRD#: 32889

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