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JK

Joao Henrique Korngold

CRD# 2732137·Registered 1996 - 2024
Previously Registered: Being a previously registered professional could mean that Joao 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.

Professional Summary

Joao Henrique Korngold was a registered financial advisor. Joao was a previously registered financial professional and started their career in finance 1996 - 2024. Joao had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 27 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

30 years in the financial services industry

Current & Past Employments

TORINO CAPITAL LLC·CRD# 157525
BD
New York, NY
July 13, 2020 - July 25, 2024
PLANNER SECURITIES LLC·CRD# 36866
BD
New York, NY
June 25, 2019 - July 13, 2020
GLOBAL FRONTERA MARKETS INC.·CRD# 144634
BD
New York, NY
July 12, 2018 - February 1, 2019
CANTOR FITZGERALD & CO.·CRD# 134
BD
New York, NY
December 12, 2014 - May 14, 2018
BNY MELLON CAPITAL MARKETS, LLC·CRD# 17454
BD
New York, NY
October 18, 2012 - February 26, 2014
SANTANDER INVESTMENT SECURITIES INC.·CRD# 37216
BD
New York, NY
June 27, 2000 - October 5, 2012
BOZANO, SIMONSEN SECURITIES, INC.·CRD# 37437
BD
New York, NY
May 9, 1996 - January 12, 2001

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Current Firm

TC
TORINO CAPITAL LLC

TORINO CAPITAL LLC | TORINO CAPITAL, LLC

CRD#: 157525 / SEC#: 8-68855
BD
Terminated by SEC on 09/30/2024

Contact Information

Established

New York since 03/29/2011

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
TORINO CAPITAL GROUP LLCHOLDING COMPANY/MANAGING MEMBER—
BORSATO, FABIANOCOO / CCO / CFO / FINOP5759900
SIERRA, VICTOR GUILLERMOCHIEF EXECUTIVE OFFICER/CHAIRMAN2764352

Disclosures

Regulatory Event

2

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2009About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 1996About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Dec 2005About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Jul 1997About the Series 27 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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JK
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