JS
Joseph W. Schiro
Some features on this profile are disabled
CRD#: 2716733
JS
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 William Schiro Jr, who also goes by Joseph William Schiro Jr, Joseph William Schiro, Joseph William Schiro Jr., Joseph Schiro, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1996. Joseph had worked at 12 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Joseph William Schiro Jr | Joseph William Schiro | Joseph William Schiro Jr. | Joseph Schiro
Other business activities
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.
1) 03/17/2023 - Wilmington Advisors at M&T - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s). 2) 03/17/2023 - Real Estate Rental - 45 Dongan Ave, Staten Island, NY 10310 - owner - Investment related - 4 Hours per month - Start date: 06/03/1999. 3) 3/20/2023 - SJJ Montgomery LLC - Not Investment Related - Staten Island, NY 10301 - Real Estate Rental - Start Date - 07/01/2018 - 4 Hours Per Month/0 Hours During Securities Trading - Time Spent 5% Rental Property - Staten Island, NY; Investment-related; Started: April 23, 2024.; Title: Owner.; Duties: Collect rent.; 0. hours are devoted each month during securities trading hours; 1-5. hours are devoted each month outside of securities trading hours. ////
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
April 23, 2024 - June 11, 2024
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
BROOKLYN, NY
Past
April 23, 2024 - June 11, 2024
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
BROOKLYN, NY
Past
March 20, 2023 - April 29, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
STATEN ISLAND, NY
Past
March 20, 2023 - April 29, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
STATEN ISLAND, NY
Past
August 17, 2022 - February 21, 2023
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
WHITESTONE, NY
Past
August 17, 2022 - February 21, 2023
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
WHITESTONE, NY
Past
February 15, 2022 - August 17, 2022
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
STATEN ISLAND, NY
Past
February 15, 2022 - August 17, 2022
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
STATEN ISLAND, NY
Past
August 23, 2016 - February 16, 2022
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
Staten Island, NY
Past
March 13, 2014 - February 16, 2022
SANTANDER SECURITIES LLC
BD
CRD#: 41791
Staten Island, NY
Past
October 17, 2013 - February 7, 2014
WALL STREET ACCESS
BD
CRD#: 10012
NEW YORK, NY
Past
February 8, 2010 - January 11, 2012
WJB CAPITAL GROUP, INC.
BD
CRD#: 37334
NEW YORK, NY
Past
July 13, 2007 - November 17, 2009
WALL STREET ACCESS
BD
CRD#: 10012
NEW YORK, NY
Past
October 24, 2000 - June 11, 2007
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
October 22, 1998 - June 16, 1999
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
March 21, 1997 - August 12, 1997
ARGENT SECURITIES, INC.
BD
CRD#: 15297
ATLANTA, GA
Past
March 4, 1996 - March 21, 1997
LCP CAPITAL CORP.
BD
CRD#: 14469
STATEN ISLAND, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CITIGROUP GLOBAL MARKETS INC.
CAPITAL MANAGEMENT DIVISION | TRAK FOR MUTUAL FUND AT NET ASSET VALUE | TRAK FOR CONSULTING GROUP CAPITAL MARKETS FUNDS | SSB COLLECTIVE FUNDS ASSET ALLOCATION SERVICE | SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED | SMITH BARNEY SHEARSON INC. | SMITH BARNEY INC. | SMITH BARNEY ASSET MANAGEMENT | SMITH BARNEY | SB ADVISOR | SALOMON SMITH BARNEY INC. | SALOMON SMITH BARNEY 401(K) ADVISOR PROGRAM | PORTFOLIO MANAGEMENT GROUP | PEACHTREE ASSET MANAGEMENT | OFFSHORE TRAK | MYFI FINANCIAL WELLNESS PROGRAM | LINK ADVISORS FOR UPS EMPLOYEES AND RETIREES | INVESTMENT MANAGEMENT SERVICES | INVESTMENT ADVISORY SERVICES | INVESTMENT ADVISORS | INSTITUTIONAL SERVICES | GUIDED PORTFOLIO MANAGEMENT PROGRAM | FIRST MADISON ADVISORS | FIDUCIARY SERVICES - UNAFFILIATED MANAGER PROGRAM | FIDUCIARY SERVICES - AFFILIATED MANAGER PROGRAM | DIVERSIFIED STRATEGIC PORTFOLIOS | DAVIS SKAGGS INVESTMENT MANAGEMENT | CONSULTING AND EVALUATION SERVICES | CITIGROUP GLOBAL MARKETS INC. | CITIGROUP ASSET MANAGEMENT | CITI PRIVATE BANK | CITI PERSONAL WEALTH MANAGEMENT | CITI PERSONAL INVESTMENTS INTERNATIONAL | CITI INVESTMENT MANAGEMENT | CITI INSTITUTIONAL CONSULTING | CITI GLOBAL WEALTH AT WORK
CRD#: 7059 / SEC#: 801-3387, 8-8177
RIA
Registered Investment Advisory firm - SEC (2/23/1964 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/6/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CITIGROUP GLOBAL MARKETS INC.
CAPITAL MANAGEMENT DIVISION | TRAK FOR MUTUAL FUND AT NET ASSET VALUE | TRAK FOR CONSULTING GROUP CAPITAL MARKETS FUNDS | SSB COLLECTIVE FUNDS ASSET ALLOCATION SERVICE | SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED | SMITH BARNEY SHEARSON INC. | SMITH BARNEY INC. | SMITH BARNEY ASSET MANAGEMENT | SMITH BARNEY | SB ADVISOR | SALOMON SMITH BARNEY INC. | SALOMON SMITH BARNEY 401(K) ADVISOR PROGRAM | PORTFOLIO MANAGEMENT GROUP | PEACHTREE ASSET MANAGEMENT | OFFSHORE TRAK | MYFI FINANCIAL WELLNESS PROGRAM | LINK ADVISORS FOR UPS EMPLOYEES AND RETIREES | INVESTMENT MANAGEMENT SERVICES | INVESTMENT ADVISORY SERVICES | INVESTMENT ADVISORS | INSTITUTIONAL SERVICES | GUIDED PORTFOLIO MANAGEMENT PROGRAM | FIRST MADISON ADVISORS | FIDUCIARY SERVICES - UNAFFILIATED MANAGER PROGRAM | FIDUCIARY SERVICES - AFFILIATED MANAGER PROGRAM | DIVERSIFIED STRATEGIC PORTFOLIOS | DAVIS SKAGGS INVESTMENT MANAGEMENT | CONSULTING AND EVALUATION SERVICES | CITIGROUP GLOBAL MARKETS INC. | CITIGROUP ASSET MANAGEMENT | CITI PRIVATE BANK | CITI PERSONAL WEALTH MANAGEMENT | CITI PERSONAL INVESTMENTS INTERNATIONAL | CITI INVESTMENT MANAGEMENT | CITI INSTITUTIONAL CONSULTING | CITI GLOBAL WEALTH AT WORK
CRD#: 7059 / SEC#: 801-3387, 8-8177
RIA
Registered Investment Advisory firm - SEC (2/23/1964 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
388 Greenwich Street Tower Building, New York, NY 10013
Mailing Address
Registration Department 540 Crosspoint Parkway, Getzville, NY 14068
Phone number
(212) 816-6000
Established
New York since 10/15/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,903
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP FINANCIAL PRODUCTS INC. | 100% SHAREHOLDER | |
| BARRATT, CHRISTOPHER | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER (FINOP) | 5659131 |
| CHIRICO, JOHN A | DIRECTOR | 2916366 |
| CONWAY, JOHN JAMES | PRINCIPAL FINANCIAL OFFICER (INTERIM) | 1584619 |
| DHOUIBI, STEPHANIE ANISSA | DIRECTOR | 7189271 |
| KLEIN, ROBERT FRANCIS | CO-GENERAL COUNSEL | 2937015 |
| MESHEL, ADAM REID | CO-GENERAL COUNSEL | 3101145 |
| PLATT, DANA LYNN | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY BUSINESSES | 6123347 |
| RICHARDSON, CYRUS BEGLEY III | CHIEF COMPLIANCE OFFICER | 5284855 |
| VALDERRABANO, VALENTIN LUIS | DIRECTOR | 7588283 |
| VAROUS, DINA | DIRECTOR/CEO/PRESIDENT/CHAIRWOMAN | 5012034 |
Regulatory assets under management
| Total Number of Accounts | 56,879 |
| AUM (Assets Under Management) | $ 46,870,946,575 |
Disclosures
| Regulatory Event | 587 |
| Civil Event | 5 |
| Arbitration | 641 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 02/28/2024 | ||
| 01/27/2023 |
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.
