Joseph C. Cernera
Professional summary
Joseph Carmello Cernera JR was barred by the FINRA 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 8 firms, which includes CANTONE RESEARCH INC., MORGAN TAYLOR & ASSOCIATES INC., CAPITAL INTERNATIONAL SECURITIES GROUP INC., FIRST MONTAUK SECURITIES CORP., GLOBAL CAPITAL MARKETS LLC, SCHNEIDER SECURITIES INC., INVESTORS ASSOCIATES INC., JARON EQUITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 1999 - September 14, 2000
CANTONE RESEARCH INC.
September 17, 1999 - October 20, 1999
MORGAN, TAYLOR & ASSOCIATES, INC.
May 5, 1999 - August 25, 1999
CAPITAL INTERNATIONAL SECURITIES GROUP, INC.
November 10, 1998 - June 14, 1999
FIRST MONTAUK SECURITIES CORP.
May 6, 1998 - October 21, 1998
GLOBAL CAPITAL MARKETS, LLC
June 18, 1997 - May 28, 1998
SCHNEIDER SECURITIES, INC.
March 14, 1997 - July 9, 1997
INVESTORS ASSOCIATES, INC.
October 29, 1996 - March 28, 1997
JARON EQUITIES CORP.
September 8, 1995 - October 24, 1996
INVESTORS ASSOCIATES, 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
Current Firm
CANTONE RESEARCH INC.
CRD#: 26314 / SEC#: , 8-41940
Contact information
Disclosures
| Regulatory Event | 13 |
| Civil Event | 1 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
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.
