Joseph M. Carrino
Professional summary
Joseph Michael Carrino JR was barred by the FINRA 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 1995. Prior to being barred, Joseph had worked at 7 firms, which includes BROOKSTONE SECURITIES INC., NATIONAL SECURITIES CORPORATION, BROOKSHIRE SECURITIES CORPORATION, NEWBRIDGE SECURITIES CORPORATION, PREFERRED SECURITIES GROUP INC., FIN-ATLANTIC SECURITIES INC., HAMPSHIRE SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2008 - August 23, 2010
BROOKSTONE SECURITIES, INC.
July 23, 2007 - February 28, 2008
NATIONAL SECURITIES CORPORATION
May 8, 2006 - May 30, 2007
BROOKSHIRE SECURITIES CORPORATION
January 17, 2002 - April 28, 2006
NEWBRIDGE SECURITIES CORPORATION
October 28, 1999 - January 23, 2002
PREFERRED SECURITIES GROUP, INC.
January 9, 1998 - October 21, 1999
FIN-ATLANTIC SECURITIES, INC.
December 15, 1995 - February 20, 1997
HAMPSHIRE SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
BROOKSTONE SECURITIES, INC.
CRD#: 13366 / SEC#: 801-67061, 8-29116
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKSTONE CAPITAL MANAGEMENT, LLC. | PARENT COMPANY | |
| LOCY, DAVID WILLIAM | DIRECT OWNER/FINOP CHIEF COMPLIANCE OFFICER | 4682865 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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