Joseph D. Ciprietti
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 Dominic Ciprietti, who also goes by Joseph D Ciprietti, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1999. Joseph had worked at 10 firms and has passed the Series 66, SIE and Series 7 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, 2017 - August 11, 2017
NORTHERN LIGHTS DISTRIBUTORS, LLC
December 5, 2013 - May 19, 2015
TSC DISTRIBUTORS, LLC
December 11, 2007 - November 13, 2012
BNY MELLON SECURITIES CORPORATION
November 30, 2007 - November 13, 2012
BNY MELLON SECURITIES CORPORATION
June 5, 2006 - November 26, 2007
COREBRIDGE CAPITAL SERVICES, INC.
July 30, 2004 - June 2, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
July 30, 2004 - June 2, 2006
FAM DISTRIBUTORS, INC.
July 30, 2003 - August 16, 2004
BLACKROCK INVESTMENTS, LLC
June 6, 2003 - July 28, 2003
J.J.B. HILLIARD, W.L. LYONS, LLC
April 24, 2003 - July 28, 2003
J.J.B. HILLIARD, W.L. LYONS, LLC
February 25, 2003 - April 30, 2003
UBS FINANCIAL SERVICES INC.
November 1, 2002 - April 30, 2003
UBS FINANCIAL SERVICES INC.
November 9, 1999 - November 7, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
NORTHERN LIGHTS DISTRIBUTORS, LLC
CRD#: 126159 / SEC#: , 8-65857
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ULTIMUS GROUP MIDCO, LLC | SOLE MEMBER | |
| EVANS, GREGORY ASHTON | FINANCIAL OPERATIONS PRINCIPAL | 4850219 |
| GUERETTE, KEVIN | PRESIDENT | 2960114 |
| JAMES, DAVID KENNETH | MANAGER | 6998721 |
| PRESTON, STEPHEN LYNN | CHIEF COMPLIANCE OFFICER/AML OFFICER | 2217795 |
| STRAIT, WILLIAM JOHN | SECRETARY/GENERAL COUNSEL/MANAGER | 6123015 |
Disclosures
| Regulatory Event | 1 |
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.
