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JD

Joseph A. Diprisco

Some features on this profile are disabled
CRD#: 2904513
JD

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 Diprisco, who also goes by Joe Diprisco Jr, Joseph A Diprisco, Joseph Anthony Diprisco Jr, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1998. Joseph had worked at 3 firms and has passed the Series 55, Series 7, Series 14, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joe Diprisco Jr | Joseph A Diprisco | Joseph Anthony Diprisco Jr

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 3, 2012 - March 26, 2012

GETCO SECURITIES, LLC

BD
CRD#: 151233
NEW YORK, NY
Past

August 1, 2000 - December 31, 2011

BANC OF AMERICA SPECIALIST, INC.

BD
CRD#: 103971
NEW YORK, NY
Past

April 15, 1998 - August 24, 2000

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 55
Date: 11/17/2011
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/10/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 11/10/2011
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/31/2011
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/1/2000
Financial and Operations Principal Examination

Current Firm

GS
GETCO SECURITIES, LLC
GETCO SECURITIES, LLC

CRD#: 151233 / SEC#: , 8-68352

BD
Terminated by SEC on 11/26/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 03/28/2006
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GETCO TRADING, LLC100% OWNER OF GETCO SECURITIES, LLC
ABRAHALL, TODD BERNARDMANAGER4624343
CARTER, DEREK DAVIDFINOP4261872
DONELSON, JAMES ALANCFO5206984
FACCHINE, THOMAS JOSEPHCCO1852754

Disclosures

Regulatory Event1

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.

Company Information

GETCO SECURITIES, LLC

CRD#: 151233

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