Joseph P. Riccardo
Professional summary
Joseph Peter Riccardo Jr, who also goes by Joseph Peter Riccardo Jr, Joseph Peter Riccardo, is a registered financial professional currently at CANACCORD GENUITY 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 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Peter Riccardo Jr's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 24, 2025 - Present
CANACCORD GENUITY LLC
Office #1: One Pennsylvania Plaza Suite 2900, New York, NY 10119November 9, 2023 - July 9, 2025
LIFESCI CAPITAL
August 20, 2018 - October 31, 2023
GUGGENHEIM SECURITIES, LLC
December 6, 2017 - August 20, 2018
WESTPORT CAPITAL MARKETS, LLC
December 22, 2015 - November 29, 2017
EVERCORE GROUP L.L.C.
July 18, 2014 - December 31, 2015
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
June 7, 2010 - July 18, 2014
CITIGROUP GLOBAL MARKETS INC.
March 3, 2009 - February 8, 2010
FTN EQUITY CAPITAL MARKETS CORP.
March 23, 2001 - March 10, 2009
BANC OF AMERICA SECURITIES LLC
November 16, 1999 - March 15, 2001
LADENBURG THALMANN & CO. INC.
March 9, 1995 - November 22, 1999
MINT BROKERS
October 28, 1994 - November 18, 1999
CANTOR FITZGERALD SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
CANACCORD GENUITY LLC
CRD#: 1020 / SEC#: , 8-3271
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | |
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
Disclosures
| Regulatory Event | 45 |
| Bond | 1 |
Red Flags
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