Joseph Dogery
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 Dogery, who also goes by Joe Dogery, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1996. Joseph had worked at 14 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2024 - December 18, 2025
JEFFERIES LLC
April 28, 2016 - April 26, 2022
MIZUHO SECURITIES USA LLC
November 13, 2013 - January 27, 2015
COMMERZ MARKETS LLC
October 4, 2010 - June 7, 2012
MUFG SECURITIES AMERICAS INC.
October 1, 2008 - October 7, 2008
J.P. MORGAN SECURITIES LLC
September 18, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
October 19, 2005 - January 17, 2006
CASTLEOAK SECURITIES, LP
August 23, 2005 - January 20, 2006
BGC FINANCIAL, L.P.
December 17, 2004 - January 12, 2006
CANTOR FITZGERALD & CO.
December 6, 2001 - November 9, 2004
W.R. HAMBRECHT + CO., LLC
June 26, 2000 - November 1, 2001
THOMAS WEISEL PARTNERS LLC
May 20, 1998 - June 12, 2000
CROWN FINANCIAL GROUP, INC.
April 4, 1997 - October 24, 1997
J.W. BARCLAY & CO., INC.
April 4, 1996 - March 7, 1997
FIRST CAMBRIDGE SECURITIES CORPORATION
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 5/30/2000
Limited Representative-Equity Trader ExamCurrent Firm
JEFFERIES LLC
CRD#: 2347 / SEC#: , 8-15074
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JEFFERIES FINANCIAL GROUP INC | DIRECT OWNER | |
| CAGNO, MARK LAWRENCE | GLOBAL CONTROLLER, MANAGING DIRECTOR | 2510148 |
| FISCELLA, MICHAEL EUGENE | GLOBAL HEAD OF OPERATIONS, MANAGING DIRECTOR | 2490187 |
| FORLENZA, PETER CHARLES | GLOBAL HEAD OF EQUITIES, MANAGING DIRECTOR | 2366985 |
| FRIEDMAN, BRIAN PAUL | DIRECTOR AND CHAIRMAN, EXECUTIVE COMMITTEE | 1298550 |
| HANDLER, RICHARD BRIAN | CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1563245 |
| LARSON, MATTHEW SCOTT | EXECUTIVE VICE PRESIDENT AND CFO/ PRINCIPAL FINANCIAL OFFICER | 2605152 |
| SCORAN, LAURI A | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR | 2060170 |
| SHARP, MICHAEL JAMES | GENERAL COUNSEL, SECRETARY, EXECUTIVE VICE PRESIDENT | 1013864 |
| STACCONI, JOHN FRANCO | TREASURER | 1814227 |
Disclosures
| Regulatory Event | 133 |
| Arbitration | 4 |
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.
