Joseph R. Guzzardi
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 Richard Guzzardi, who also goes by Joseph Richard Guzzardi III, Joseph Richard Guzzardi, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE, 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
July 12, 2023 - January 30, 2025
PERSHING ADVISOR SOLUTIONS LLC
September 12, 2022 - January 30, 2025
PERSHING LLC
July 15, 2016 - October 12, 2020
RAYMOND JAMES & ASSOCIATES, INC.
July 15, 2016 - October 12, 2020
RAYMOND JAMES & ASSOCIATES, INC.
December 4, 2012 - September 14, 2015
MORGAN STANLEY
December 4, 2012 - September 14, 2015
MORGAN STANLEY
April 25, 2005 - April 29, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 2, 2004 - April 29, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 4, 1997 - October 20, 2004
FEDERATED SECURITIES CORP.
February 3, 1997 - May 29, 1997
EDGEWOOD SERVICES, 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: 6/28/2022
General Securities Representative ExaminationCurrent Firm
PERSHING ADVISOR SOLUTIONS LLC
CRD#: 36671 / SEC#: , 8-47425
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAS HOLDINGS LLC | HOLDING COMPANY | |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| HARRISON, BENJAMIN WARD | BOARD MEMBER, HEAD OF THE BUSINESS | 3121159 |
| KEARNEY, JAMES FRANCIS III | CHIEF RISK OFFICER (CRO) | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER | 5177277 |
| MUTTERER, FRANK PAUL | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2088419 |
| WEISS, NINA KATE | CHIEF COMPLIANCE OFFICER (CCO), BOARD MEMBER | 2642331 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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