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Joseph Anthony Diprisco

CRD# 2904513·Registered 1998 - 2012
Previously Registered: Being a previously registered professional could mean that Joseph 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.

Professional Summary

Joseph Anthony Diprisco, who also goes by Joe Diprisco Jr, Joseph A Diprisco, Joseph Anthony Diprisco Jr, was a registered financial advisor. Joseph was a previously registered financial professional and started their career in finance 1998 - 2012. Joseph had worked at 3 firms and has passed the Series 55, Series 7, Series 14, Series 24 and Series 27 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Joe Diprisco Jr, Joseph A Diprisco, Joseph Anthony Diprisco Jr

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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

28 years in the financial services industry

Current & Past Employments

GETCO SECURITIES, LLC·CRD# 151233
BD
New York, NY
January 3, 2012 - March 26, 2012
BANC OF AMERICA SPECIALIST, INC.·CRD# 103971
BD
New York, NY
August 1, 2000 - December 31, 2011
APEX CLEARING CORPORATION·CRD# 13071
BD
Dallas, TX
April 15, 1998 - August 24, 2000

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Current Firm

GS
GETCO SECURITIES, LLC

GETCO SECURITIES, LLC

CRD#: 151233 / SEC#: 8-68352
BD
Terminated by SEC on 11/26/2013

Contact Information

Established

Illinois since 03/28/2006

Firm Type

Limited Liability Company

Fiscal Year End

December

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 Event

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

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

Series 55 — Limited Representative-Equity Trader Exam

Passed Nov 2011

Series 7 — General Securities Representative Examination

Passed Dec 2010About the Series 7 exam

Series 14 — Compliance Officer Examination

Passed Nov 2011About the Series 14 exam

Series 24 — General Securities Principal Examination

Passed Oct 2011About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Oct 2000About the Series 27 exam

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CRS (Client Relationship Summary)

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

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