Joseph M. Giannuzzi
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 M Giannuzzi was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1995. Joseph had worked at 4 firms and has passed the Series 63 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
August 10, 2000 - January 9, 2001
US TRADING LLC
October 13, 1999 - January 31, 2001
WEATHERLY SECURITIES CORPORATION
August 11, 1997 - October 21, 1999
TASIN & COMPANY, INC.
July 27, 1995 - July 1, 1997
H G I
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
Current Firm
US TRADING LLC
CRD#: 37426 / SEC#: , 8-47729
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARLIN GROUP LLC | OWNER OF US TRADING LLC | |
| COAKLEY, JOHN JOSEPH | ROP | 1852324 |
| COAKLEY, JOHN JOSEPH | SROP | 1852324 |
| COAKLEY, JOHN JOSEPH | CROP | 1852324 |
| FROMMER, JEREMY PHILLIP | PRESIDENT/ COO | 2099159 |
| KORNFELD, LYNDA ANN | CHIEF COMPLIANCE OFFICER | 3162347 |
| RISI, SALVATORE ANTHONY | FIN-OP | 1072513 |
| RONAN, DENNIS MICHAEL | ORDER ROOM MANAGER | 1020860 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 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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