Joseph N. Morena
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 Nicholas Morena was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1994. Joseph had worked at 13 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2012 - June 7, 2021
NYLIFE SECURITIES LLC
April 7, 2011 - May 23, 2011
WALNUT STREET SECURITIES, INC.
April 7, 2011 - May 23, 2011
TOWER SQUARE SECURITIES, INC.
April 7, 2011 - May 23, 2011
NEW ENGLAND SECURITIES
April 8, 2010 - May 23, 2011
MSI FINANCIAL SERVICES, INC.
December 3, 2007 - July 6, 2009
E*TRADE SECURITIES LLC
July 21, 2005 - September 6, 2007
AMERIVEST PARTNERS, LLC
April 13, 2005 - July 28, 2005
ROBERT G. PEARS & CO., INC.
December 6, 2004 - May 3, 2005
JNM BROKERAGE LLC
September 26, 2003 - July 14, 2004
PIPER SANDLER & CO.
September 26, 2003 - November 3, 2004
J & A SECURITIES, INC.
June 23, 1999 - December 7, 2001
KEYBANC CAPITAL MARKETS INC.
November 21, 1994 - May 16, 1996
UBS FINANCIAL SERVICES INC.
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 55
Date: 6/23/2007
Limited Representative-Equity Trader ExamCurrent Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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