Joseph A. Depergola
Professional summary
Joseph Andrew Depergola was barred by both the FINRA and the SEC 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 9 firms, which includes VALLEY FORGE SECURITIES INC ., MAGNUM SECURITIES OF NEW YORK INC., RUSSO SECURITIES INC., ROYAL HUTTON SECURITIES CORP., GLOBAL CAPITAL MARKETS LLC, ROYCE INVESTMENT GROUP INC., JOSEPHTHAL & CO. INC., CONTINENTAL BROKER-DEALER CORP., INVESTORS ASSOCIATES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2000 - August 14, 2001
VALLEY FORGE SECURITIES, INC .
November 1, 2000 - February 16, 2001
MAGNUM SECURITIES OF NEW YORK INC.
October 7, 1999 - June 21, 2000
RUSSO SECURITIES INC.
September 9, 1998 - April 28, 1999
RUSSO SECURITIES INC.
March 24, 1998 - July 16, 1998
ROYAL HUTTON SECURITIES CORP.
February 2, 1998 - March 27, 1998
GLOBAL CAPITAL MARKETS, LLC
April 17, 1997 - July 2, 1997
ROYCE INVESTMENT GROUP, INC.
June 12, 1996 - October 1, 1996
JOSEPHTHAL & CO., INC.
April 25, 1996 - June 11, 1996
CONTINENTAL BROKER-DEALER CORP.
December 18, 1995 - June 27, 1996
INVESTORS ASSOCIATES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
VALLEY FORGE SECURITIES, INC .
CRD#: 20892 / SEC#: , 8-38587
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 6 |
Red Flags
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