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Joseph Andrew Depergola

CRD# 2608774·Registered 1995 - 2001
Barred: Joseph Andrew Depergola was barred by both the FINRA and the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Joseph Andrew Depergola, who also goes by Giuseppe Andrea Depergola, Joseph Depergola, was a registered financial advisor. Joseph was a previously registered financial professional and started their career in finance 1995 - 2001. Joseph had worked at 9 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Giuseppe Andrea Depergola, Joseph Depergola

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Videos & Posts

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Contact Information

No current employment

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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.

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Years of Experience

30 years in the financial services industry

Current & Past Employments

VALLEY FORGE SECURITIES, INC .·CRD# 20892
BD
Rosemont, PA
December 23, 2000 - August 14, 2001
MAGNUM SECURITIES OF NEW YORK INC.·CRD# 39267
BD
New York, NY
November 1, 2000 - February 16, 2001
RUSSO SECURITIES INC.·CRD# 14425
BD
Staten Island, NY
October 7, 1999 - June 21, 2000
RUSSO SECURITIES INC.·CRD# 14425
BD
Staten Island, NY
September 9, 1998 - April 28, 1999
ROYAL HUTTON SECURITIES CORP.·CRD# 14489
BD
New York, NY
March 24, 1998 - July 16, 1998
GLOBAL CAPITAL MARKETS, LLC·CRD# 16191
BD
Melville, NY
February 2, 1998 - March 27, 1998
ROYCE INVESTMENT GROUP, INC.·CRD# 10494
BD
Woodbury, NY
April 17, 1997 - July 2, 1997
JOSEPHTHAL & CO., INC.·CRD# 3227
BD
New York, NY
June 12, 1996 - October 1, 1996
CONTINENTAL BROKER-DEALER CORP.·CRD# 14048
BD
Carle Place, NY
April 25, 1996 - June 11, 1996
INVESTORS ASSOCIATES, INC.·CRD# 958
BD
Hackensack, NJ
December 18, 1995 - June 27, 1996

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Current Firm

VF
VALLEY FORGE SECURITIES, INC .

BRYN MAWR INVESTMENT GROUP, INC. | VALLEY FORGE SECURITIES, INC . | VALLEY FORGE SECURITIES, INC

CRD#: 20892 / SEC#: 8-38587
BD
Terminated by SEC on 03/03/2002

Contact Information

Established

Pennsylvania since 08/18/1987

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
BRIAR CREEK INVESTMENTS L.L.C.STOCKHOLDER—
LABELLA, TONINO GAETANOCHAIRMAN/CEO—
GM FINANCIAL CORP.STOCKHOLDER—
KESSLER, THOMAS RALPHDIRECTOR4183486
WALSH, MICHAEL JOSEPHPRESIDENT458066

Disclosures

Regulatory Event

8

Arbitration

6

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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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 Feb 1996About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Dec 1995About the Series 7 exam

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CRS (Client Relationship Summary)

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

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