Joseph A. Braccia
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 Anthony Braccia, who also goes by Joseph A. Braccia, Joseph Braccia, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2012 - October 22, 2019
GREEN DRAKE ADVISORS LLC
November 15, 2005 - September 23, 2010
MORGAN STANLEY INVESTMENT ADVISORS INC.
April 21, 1997 - September 23, 2010
MORGAN STANLEY DISTRIBUTION, 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
Current Firm
GREEN DRAKE ADVISORS LLC
CRD#: 156156 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 33 |
| AUM (Assets Under Management) | $ 8,885,987 |
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.
