Joseph H. Pedo
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 H Pedo 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 7TO, Series 57TO, SIE, Series 55, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2024 - April 2, 2025
THINK ALPHA SECURITIES, LLC
April 25, 2017 - September 13, 2024
GREAT POINT CAPITAL LLC
August 19, 2015 - April 5, 2017
HOLD BROTHERS CAPITAL LLC
November 7, 2014 - August 13, 2015
T3 TRADING GROUP, LLC
June 11, 2012 - October 22, 2012
WORLD-XECUTION STRATEGIES
April 25, 2011 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
June 29, 2006 - February 27, 2007
DIMENSION BROKERAGE, LLC
April 20, 2005 - June 5, 2006
CENTURION SECURITIES L.L.C.
March 3, 2003 - January 13, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
November 13, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
October 3, 2001 - November 13, 2002
ICAP/INVESTMENT SERVICES AND TRADING, LLC
November 19, 1999 - September 17, 2001
HERZOG, HEINE, GEDULD, LLC
September 16, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 16, 1996 - November 5, 1999
SIGNATOR INVESTORS, 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/5/2001
Limited Representative-Equity Trader ExamCurrent Firm
THINK ALPHA SECURITIES, LLC
CRD#: 300679 / SEC#: , 8-70292
Contact information
FINRA licenses (52 States and Territories)
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.
