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Anthony Joseph Graziano

JOSEPH STONE CAPITAL L.L.C.
GARDEN CITY, NY
·CRD# 2862096·29 years experience

Professional Summary

Anthony Joseph Graziano, who also goes by Anthony Graziano, is a registered financial advisor currently at JOSEPH STONE CAPITAL L.L.C. located in Garden City, New York. Anthony is registered as a RR (Registered Representative) and started their career in finance in 1997. Anthony has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 14 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Anthony Graziano

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

29 years in the financial services industry

Current & Past Employments

JOSEPH STONE CAPITAL L.L.C.·CRD# 159744
BD
1. 585 Stewart Ave Suite L60c, Garden City, NY 115302. 29 Broadway Suite 1800, New York, NY 10006
June 5, 2015 - Present
NATIONAL SECURITIES CORPORATION·CRD# 7569
BD
Westbury, NY
April 8, 2013 - November 8, 2013
BROOKSTONE SECURITIES, INC.·CRD# 13366
BD
Garden City, NY
August 29, 2011 - May 8, 2012
SW FINANCIAL·CRD# 145012
BD
Babylon Village, NY
September 23, 2008 - August 24, 2011
AMERICAN CAPITAL PARTNERS, LLC·CRD# 119249
BD
Farmingdale, NY
June 15, 2007 - October 10, 2008
GUNNALLEN FINANCIAL, INC·CRD# 17609
BD
Lindenhurst, NY
March 2, 2004 - June 22, 2007
JOSEPH STEVENS & CO., INC.·CRD# 35459
BD
Brooklyn, NY
August 21, 2002 - March 16, 2004
LADENBURG CAPITAL MANAGEMENT INC.·CRD# 14623
BD
Bethpage, NY
August 5, 1998 - August 28, 2002
LADENBURG CAPITAL MANAGEMENT INC.·CRD# 14623
BD
Bethpage, NY
April 16, 1997 - August 19, 1997

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Current Firm

JS
JOSEPH STONE CAPITAL L.L.C.

JOSEPH STONE CAPITAL L.L.C.

CRD#: 159744 / SEC#: 8-69014
BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)

Contact Information

Main Address

585 Stewart Ave Suite L60c, Garden City, NY 11530

Mailing Address

585 Stewart Ave Suite L60c, Garden City, NY 11530

Phone Number

(516) 267-7001

Established

Delaware since 11/04/2011

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DPMM HOLDINGS L.L.C.HOLDING COMPANY—
GRAZIANO, ANTHONY JOSEPHCCO2862096
MAGGIO, DAMIANCEO2864247
NIXON, JON ALANFINOP4710715

Disclosures

Regulatory Event

5

Arbitration

3

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
California
(7/10/2015)
RR
District of Columbia
(10/9/2015)
RR
Florida
(10/12/2015)
RR
Illinois
(7/10/2015)
RR
Iowa
(5/19/2022)
RR
Maryland
(10/13/2015)
RR
Massachusetts
(6/25/2020)
RR
Minnesota
(7/10/2015)
RR
Missouri
(4/9/2018)
RR
New York
(6/18/2015)
RR
North Carolina
(7/10/2015)
RR
Oklahoma
(7/14/2015)
RR
Puerto Rico
(5/10/2023)
RR
Texas
(1/27/2016)
RR
Washington
(7/18/2015)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1997About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 1997About the Series 7 exam

Series 14 — Compliance Officer Examination

Passed Jan 2023About the Series 14 exam

Series 24 — General Securities Principal Examination

Passed Oct 2007About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Anthony Joseph Graziano's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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