AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
JS

Joseph Giuseppe Scali Jr

CRD# 2564129·Registered 1997 - 2009
Suspended: Joseph Giuseppe Scali JR was suspended by the FINRA; they may not be permitted to conduct business during the suspension.

Professional Summary

Joseph Giuseppe Scali JR, who also goes by Giuseppe Scali Jr, Joseph Giuseppe Scali, Joseph Scali, was a registered financial advisor. Joseph was a previously registered financial professional and started their career in finance 1997 - 2009. Joseph had worked at 12 firms and has passed the Series 63 and Series 7 exams.

At a Glance

—

Fiduciary Standard

—

Fee Structure

—

Account Minimum

—

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Giuseppe Scali Jr, Joseph Giuseppe Scali, Joseph Scali

Blog Corner

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
View profile
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Years of Experience

29 years in the financial services industry

Current & Past Employments

EKN FINANCIAL SERVICES INC.·CRD# 113525
BD
Woodbury, NY
June 1, 2009 - July 20, 2009
OBSIDIAN FINANCIAL GROUP, LLC·CRD# 104255
BD
Woodbury, NY
April 9, 2008 - June 30, 2009
WESTROCK ADVISORS, INC.·CRD# 114338
BD
Woodbury, NY
May 19, 2006 - April 15, 2008
J.P. TURNER & COMPANY, L.L.C.·CRD# 43177
BD
Garden City, NY
November 24, 2004 - May 24, 2006
GRANITE ASSOCIATES, INC·CRD# 46682
BD
Delray Beach, FL
January 6, 2004 - July 23, 2004
CONTINENTAL BROKER-DEALER CORP.·CRD# 14048
BD
Carle Place, NY
April 21, 2003 - January 21, 2004
HARRISON SECURITIES, INC.·CRD# 14103
BD
Port Washington, NY
March 4, 2002 - May 20, 2003
THINKEQUITY LLC·CRD# 20996
BD
New York, NY
October 26, 1999 - March 26, 2002
CARNEGIE INVESTOR SERVICES INC.·CRD# 8295
BD
New York, NY
October 5, 1998 - October 29, 1999
CHATFIELD DEAN & CO., INC.·CRD# 14714
BD
Greenwood Village, CO
April 16, 1998 - September 29, 1998
DAVID LERNER ASSOCIATES, INC.·CRD# 5397
BD
Syosset, NY
July 11, 1997 - April 15, 1998
LADENBURG CAPITAL MANAGEMENT INC.·CRD# 14623
BD
Bethpage, NY
March 12, 1997 - July 18, 1997

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Current Firm

EF
EKN FINANCIAL SERVICES INC.

EHRENKRANTZ KING NUSSBAUM, INC. | EKN FINANCIAL SERVICES INC.

CRD#: 113525 / SEC#: 8-53346
BD
Cancelled by SEC on 11/20/2013

Contact Information

Established

Delaware since 01/16/2001

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
MARGATE CAPITAL, INCPARENT COMPANY—
BORGNER, RICHARD REISSCHIEF COMPLIANCE OFFICER1104666
GIUGLIANO, THOMAS MICHAELDIRECTOR2804591
OTTIMO, ANTHONY SRCHAIRMAN & DIRECTOR2974369

Disclosures

Regulatory Event

18

Arbitration

10

Judgment/Lien

1

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1997About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1997About the Series 7 exam

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

CRS (Client Relationship Summary)

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

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
JS
Follow Joseph
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required