Joseph J. Vancook
Professional summary
Joseph John Vancook was barred by 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 1996. Prior to being barred, Joseph had worked at 10 firms, which includes LADENBURG THALMANN & CO. INC., PUNK ZIEGEL & COMPANY L.P., LEONARD SECURITIES INC, PRITCHARD CAPITAL PARTNERS LLC, NATIONAL SECURITIES CORPORATION, SHARPE CAPITAL INC., TRADE.COM ONLINE SECURITIES INC., CITICORP INVESTMENT SERVICES, AUERBACH POLLAK & RICHARDSON INC., BLUESTONE CAPITAL CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2008 - March 2, 2012
LADENBURG THALMANN & CO. INC.
March 3, 2004 - May 16, 2008
PUNK, ZIEGEL & COMPANY, L.P.
July 24, 2001 - December 31, 2002
LEONARD SECURITIES, INC
April 9, 2001 - February 10, 2004
PRITCHARD CAPITAL PARTNERS, LLC
October 26, 2000 - April 17, 2001
NATIONAL SECURITIES CORPORATION
April 20, 2000 - October 27, 2000
SHARPE CAPITAL, INC.
January 18, 2000 - May 26, 2000
TRADE.COM ONLINE SECURITIES, INC.
November 11, 1998 - January 21, 2000
CITICORP INVESTMENT SERVICES
February 20, 1998 - November 12, 1998
AUERBACH, POLLAK & RICHARDSON INC.
February 8, 1996 - February 26, 1998
BLUESTONE CAPITAL CORP.
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
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
Red Flags
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