Joseph C. Maiorano

SOUND ASSET MANAGEMENT GROUP

Brooklyn, NY 11214

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CRD#: 2844350

Professional summary

Joseph Christopher Maiorano, who also goes by Joseph C Maiorano, is a registered financial advisor currently at SOUND ASSET MANAGEMENT GROUP, LLC located in Brooklyn, New York.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Joseph has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph C Maiorano

Other business activities

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.

1.MAIORANO & ASSOCIATES, 8754 BAY 16TH ST, STE A, BROOKLYN NY 11214. TAX PREPARATION NON-INVESTMENT. PRESIDENT & I PREPARE INDIVIDUAL TAX RETURNS FROM JAN TO APRIL. 10/04 TO PRESENT. 2.BISYS INSURANCE: INSURANCE AGENT. SELL INSURANCE PRODUCTS SUCH AS BUT NOT LIMITED TO TERM, DISABILITY AND LONG TERM CARE INSURANCE. 1/01 TO PRESENT. 3.PROFESSIONAL HOME SALES INC: REAL ESTATE SALES. PRESIDENT SINCE 3/06. 4.SOUND ASSET MANAGEMENT GROUP LLC. RIA. PRESIDENT/OWNER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Christopher Maiorano's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 16, 2021 - Present

SOUND ASSET MANAGEMENT GROUP, LLC

Office #1: 8754 Bay 16th Street Suite B, Brooklyn, NY 11214

RIA

CRD#: 145330

Brooklyn, NY

Past

February 7, 2013 - December 31, 2016

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

BROOKLYN, NY

Past

March 26, 2008 - February 11, 2011

QA3 FINANCIAL CORP.

CRD#: 14754

BROOKLYN, NY

Past

December 2, 2002 - February 6, 2008

OSAIC WEALTH, INC.

CRD#: 23131

SCARSDALE, NY

Past

January 22, 2001 - December 2, 2002

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

POUGHKEEPSIE, NY

Past

June 1, 2000 - December 22, 2000

LADENBURG CAPITAL MANAGEMENT INC.

CRD#: 14623

BETHPAGE, NY

Past

December 3, 1998 - March 14, 2000

W.J. NOLAN & COMPANY, INC.

CRD#: 16465

NEW YORK, NY

Past

September 1, 1998 - November 17, 1998

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

September 26, 1997 - June 22, 1998

JOSEPH STEVENS & CO., INC.

CRD#: 35459

BROOKLYN, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(9/16/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/3/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/25/1997

General Securities Representative Examination

Current Firm

SOUND ASSET MANAGEMENT GROUP, LLC

CRD#: 145330 / SEC#: 801-68434

RIA

Registered Investment Advisory firm - (9/1/2023 Terminated)

New York

Registered Investment Advisory firm - (8/24/2023 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

8754 Bay 16th Street Suite B, Brooklyn, NY 11214

Mailing Address

Phone number

(718) 331-3700

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Joseph C. Maiorano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Christopher Maiorano's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUND ASSET MANAGEMENT GROUP, LLC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

QA3 FINANCIAL CORP.

OSAIC WEALTH, INC.

PRIME CAPITAL SERVICES, INC.

LADENBURG CAPITAL MANAGEMENT INC.

W.J. NOLAN & COMPANY, INC.

OPPENHEIMER & CO. INC.

JOSEPH STEVENS & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/3/1997

SIE

Date: 12/31/2016

Series 7

Date: 9/25/1997

Current Firm

SOUND ASSET MANAGEMENT GROUP, LLC

Contact information

Documents

Red Flags

Company Information

SOUND ASSET MANAGEMENT GROUP, LLC

TRUST BUT VERIFY

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