Joseph A. Schifano
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 Schifano, who also goes by Joseph Schifano, Joseph Schifany, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 10 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 55, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2016 - July 7, 2020
LATOUR TRADING LLC
January 28, 2016 - July 7, 2020
TRC MARKETS LLC
December 6, 2011 - December 20, 2012
BARCLAYS CAPITAL INC.
June 14, 2005 - August 1, 2007
UBS FINANCIAL SERVICES INC.
March 28, 2005 - December 9, 2011
UBS SECURITIES LLC
June 14, 2000 - February 15, 2006
UBS CAPITAL MARKETS L.P.
December 17, 1998 - June 16, 2000
LCP CAPITAL CORP.
May 20, 1998 - November 4, 1998
SHAMROCK PARTNERS, LTD
October 22, 1997 - May 18, 1998
J.P. TURNER & COMPANY, L.L.C.
July 10, 1997 - November 12, 1997
COLEMAN & COMPANY SECURITIES, 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
Series 7TO
Date: 4/23/2023
General Securities Representative ExaminationSeries 57TO
Date: 4/23/2023
Securities Trader ExamSeries 55
Date: 8/18/1999
Limited Representative-Equity Trader ExamCurrent Firm
LATOUR TRADING LLC
CRD#: 150887 / SEC#: , 8-68304
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOWER RESEARCH CAPITAL LLC | MEMBER | |
| FAUCON, DAVID | PRINCIPAL EXECUTIVE OFFICER | 5062876 |
| BOUVET, GUILLAUME ADRIEN MR | CHIEF OPERATING OFFICER | 5588427 |
| CONCANNON, SEAN PATRICK | PRINCIPAL FINANCIAL OFFICER | 5364102 |
| ELLMAN, MICHAEL GREG | FINOP/PRINCIPAL OPERATING OFFICER | 5574667 |
| MESTER, THOMAS BRENNER | CHIEF COMPLIANCE OFFICER | 2350593 |
| THIEBAULT, SEBASTIEN | CHIEF EXECUTIVE OFFICER | 4870286 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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