Joseph A. Mendola
Professional summary
Joseph Angelo Mendola is a registered financial professional currently at THE KLEIN GROUP, LLC located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1997. Joseph has worked at 8 firms and has passed the Series 65, Series 63, Series 62, Series 52TO, Series 79TO, Series 57TO, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 9, Series 10, Series 53, Series 27, Series 24, Series 4, Series 8 and Series 14 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Angelo Mendola's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 30, 2019 - Present
THE KLEIN GROUP, LLC
Office #1: 640 Fifth Avenue 12th Floor, New York, NY 10019Office #2: 640 5th Avenue 12th Floor, New York, NY 10019April 21, 2015 - July 26, 2019
SIEBERT WILLIAMS SHANK & CO., LLC
January 30, 2015 - April 17, 2015
MYD MARKET, INC
March 18, 2010 - January 29, 2014
M. R. BEAL & COMPANY
March 30, 2007 - February 11, 2010
MAGNA
June 28, 2000 - July 15, 2005
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
March 12, 1998 - June 19, 2000
SS&C MARKET SERVICES, LLC
April 28, 1997 - June 19, 2000
WALL STREET ACCESS
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/4/2023)
(1/20/2025)
(7/30/2019)
(8/8/2019)
Exams
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 11/10/1998
Limited Representative-Equity Trader ExamSeries 8
Date: 7/8/1997
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
THE KLEIN GROUP, LLC
CRD#: 46472 / SEC#: , 8-51430
Contact information
FINRA licenses (7 States and Territories)
Documents
Red Flags
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