Joseph R. Uggiano
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 Richard Uggiano JR, who also goes by Joseph Uggiano, 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 66, Series 63, Series 55, Series 25, Series 3, Series 7, Series 4, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2011 - November 28, 2011
METLIFE INVESTORS DISTRIBUTION COMPANY
June 14, 2011 - September 5, 2013
WALNUT STREET SECURITIES, INC.
June 14, 2011 - September 5, 2013
TOWER SQUARE SECURITIES, INC.
June 14, 2011 - February 18, 2014
NEW ENGLAND SECURITIES
June 14, 2011 - September 9, 2013
WALNUT STREET SECURITIES, INC.
June 14, 2011 - September 9, 2013
TOWER SQUARE SECURITIES, INC.
June 14, 2011 - February 18, 2014
NEW ENGLAND SECURITIES
December 20, 2010 - February 18, 2014
MSI FINANCIAL SERVICES, INC.
July 14, 2009 - February 18, 2014
MSI FINANCIAL SERVICES, INC.
April 23, 2007 - January 14, 2008
RAYMOND C. FORBES & CO., INC.
November 24, 2004 - April 20, 2007
SLL SECURITIES INC
January 14, 2003 - November 30, 2004
NORTHPORT SECURITIES INC.
February 15, 2002 - January 13, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 17, 1997 - February 24, 2000
MORGAN STANLEY & CO. LLC
October 1, 1996 - September 24, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 15, 1995 - March 23, 1995
AMERICORP SECURITIES, 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: 4/11/2006
Limited Representative-Equity Trader ExamSeries 25
Date: 5/1/2003
NYSE Trading Assistant ExaminationCurrent Firm
METLIFE INVESTORS DISTRIBUTION COMPANY
CRD#: 107622 / SEC#: , 8-53064
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE INVESTORS GROUP, LLC | SHAREHOLDER | |
| ALPHONSO-NAPOLI, GEETA MARCELI | LEGAL OFFICER | 4518655 |
| FRADKIN, GEOFFREY ANDREW | VICE PRESIDENT | 5473381 |
| GOOD, JESSICA TERESE | CHAIRMAN OF THE BOARD OF DIRECTORS, PRESIDENT AND CEO | 5741973 |
| GRUPPUSO, PETER | ASSISTANT VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2643834 |
| KUCHINSKY, ALEXIS NATALIE | CHIEF COMPLIANCE OFFICER | 4343809 |
| LOPEZ, GABRIEL ADOLPH | DIRECTOR AND SENIOR VICE PRESIDENT | 2554216 |
| MCDERMOTT, MICHAEL | DIRECTOR, SENIOR VICE PRESIDENT | 5577809 |
| SCHUSTER, THOMAS JAMES | DIRECTOR, SENIOR VICE PRESIDENT | 4570334 |
| SMITH-WALL, ANIKA AYANNA-NJERI | DIRECTOR, VICE PRESIDENT | 7414359 |
Disclosures
| Regulatory Event | 1 |
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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