Joseph C. Ferragamo
Professional summary
Joseph Charles Ferragamo was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Joseph had worked at 6 firms, which includes VALLEY FORGE SECURITIES INC ., LH ROSS & COMPANY INC., LCP CAPITAL CORP., SHAMROCK PARTNERS LTD, J.P. TURNER & COMPANY L.L.C., J.W. BARCLAY & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2000 - October 31, 2001
VALLEY FORGE SECURITIES, INC .
June 13, 2000 - August 17, 2000
VALLEY FORGE SECURITIES, INC .
June 24, 1999 - June 12, 2000
LH ROSS & COMPANY, INC.
November 30, 1998 - June 22, 1999
LCP CAPITAL CORP.
May 26, 1998 - December 31, 1998
SHAMROCK PARTNERS, LTD
September 18, 1997 - May 18, 1998
J.P. TURNER & COMPANY, L.L.C.
August 6, 1997 - September 11, 1997
J.W. BARCLAY & CO., INC.
State Registrations and Notice Filings
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Exams
Series 62
Date: 8/4/1997
Corporate Securities Limited Representative ExaminationCurrent Firm
VALLEY FORGE SECURITIES, INC .
CRD#: 20892 / SEC#: , 8-38587
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 6 |
Red Flags
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