Joseph Fragala
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 Fragala was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1995. Joseph had worked at 11 firms and has passed the Series 63, SIE, Series 55 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
January 8, 2018 - October 11, 2018
SPENCER EDWARDS, INC.
February 26, 2014 - December 31, 2017
SPENCER EDWARDS, INC.
September 12, 2012 - March 4, 2014
THE VERTICAL GROUP
May 10, 2012 - September 10, 2012
ELEVATION, LLC
April 19, 2012 - May 16, 2012
THE VERTICAL GROUP
October 10, 2011 - February 7, 2012
BTIG, LLC
January 11, 2010 - October 6, 2011
BGC FINANCIAL, L.P.
September 7, 2005 - January 13, 2010
PALI CAPITAL, INC.
January 8, 2005 - August 24, 2005
TULLETT PREBON FINANCIAL SERVICES LLC
November 14, 2003 - January 14, 2005
BURLINGTON CAPITAL MARKETS INC.
May 16, 2003 - November 20, 2003
J.P. MORGAN SECURITIES LLC
March 1, 2002 - May 13, 2003
ABN AMRO INCORPORATED
September 26, 1995 - March 1, 2002
ABN AMRO SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 7/22/2004
Limited Representative-Equity Trader ExamCurrent Firm
SPENCER EDWARDS, INC.
CRD#: 22067 / SEC#: , 8-39511
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Arbitration | 2 |
Red Flags
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