JA
Joseph S. Audia
VCS VENTURE SECURITIES
Hauppauge, NY 11788
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CRD#: 2909761
JA
Professional summary
Joseph Scott Audia is a registered financial professional currently at VCS VENTURE SECURITIES located in Hauppauge, 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 63, Series 79TO, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Joseph Scott Audia's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 10, 2021 - Present
VCS VENTURE SECURITIES
Office #1: 2170 Joshuas Path, Hauppauge, NY 11788BD
CRD#: 127921
Hauppauge, NY
Past
November 15, 2013 - September 27, 2021
JOSEPH STONE CAPITAL L.L.C.
BD
CRD#: 159744
HAUPPAUGE, NY
Past
September 18, 2007 - December 13, 2013
FIRST MIDWEST SECURITIES, INC.
BD
CRD#: 21786
HAUPPAUGE, NY
Past
August 7, 2002 - October 17, 2007
AMERICAN CAPITAL PARTNERS, LLC
BD
CRD#: 119249
HAUPPAUGE, NY
Past
June 15, 2001 - August 7, 2002
MILESTONE FINANCIAL SERVICES, INC.
BD
CRD#: 43295
BOHEMIA, NY
Past
November 15, 1999 - July 2, 2001
JOSEPH GUNNAR & CO. LLC
BD
CRD#: 24795
UNIONDALE, NY
Past
April 17, 1998 - November 16, 1999
KEDEM CAPITAL CORPORATION
BD
CRD#: 18178
MELVILLE, NY
Past
December 8, 1997 - April 6, 1998
FOSTER JEFFRIES SECURITIES, LLC
BD
CRD#: 30144
WESTBURY, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/27/2021)
RR
Alaska(10/8/2021)
RR
Arizona(10/1/2021)
RR
California(3/24/2022)
RR
Colorado(9/30/2021)
RR
Connecticut(9/28/2021)
RR
District of Columbia(9/30/2021)
RR
Florida(9/20/2021)
RR
Georgia(9/27/2021)
RR
Hawaii(11/17/2021)
RR
Idaho(9/15/2021)
RR
Illinois(10/13/2021)
RR
Indiana(9/28/2021)
RR
Iowa(10/4/2021)
RR
Kansas(9/28/2021)
RR
Kentucky(9/29/2021)
RR
Louisiana(9/28/2021)
RR
Maine(11/18/2021)
RR
Maryland(9/13/2021)
RR
Massachusetts(9/28/2021)
RR
Michigan(9/29/2021)
RR
Minnesota(12/16/2021)
RR
Mississippi(9/29/2021)
RR
Missouri(5/2/2022)
RR
Nebraska(9/28/2021)
RR
Nevada(10/5/2021)
RR
New Hampshire(12/16/2021)
RR
New Jersey(9/28/2021)
RR
New York(9/23/2021)
RR
North Carolina(9/28/2021)
RR
North Dakota(9/27/2021)
RR
Ohio(10/1/2021)
RR
Oklahoma(9/27/2021)
RR
Oregon(10/15/2021)
RR
Pennsylvania(9/28/2021)
RR
Rhode Island(9/30/2021)
RR
South Carolina(9/29/2021)
RR
South Dakota(10/5/2021)
RR
Texas(9/15/2021)
RR
Utah(9/28/2021)
RR
Vermont(9/28/2021)
RR
Virginia(9/28/2021)
RR
Washington(9/23/2021)
RR
Wisconsin(9/29/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VV
VCS VENTURE SECURITIES
D R F BUSINESS AND FINANCIAL SERVICES, LLC | VCS VENTURE SECURITIES | PRIMARY CAPITAL, LLC
CRD#: 127921 / SEC#: , 8-66069
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
29 Broadway Suite 1502, New York, NY 10006-3201
Mailing Address
29 Broadway Suite 1502, New York, NY 10006-3221
Phone number
(212) 404-7696
Established
Delaware since 11/16/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEO CAPITAL MARKETS, LLC | DIRECT OWNER | |
| NEW AGE CAPITAL MANAGEMENT, LLC | DIRECT OWNER | |
| MOOD, TRAVIS ANTON MORSE | REGISTERED OPTIONS PRINCIPAL | 4745001 |
| NIXON, JON ALAN | FINOP | 4710715 |
| STALANSKI, JOHN WALTER | AMLCO | 2922709 |
| STALANSKI, JOHN WALTER | CHIEF OPERATING OFFICER | 2922709 |
| STALANSKI, JOHN WALTER | CHIEF COMPLIANCE OFFICER | 2922709 |
Disclosures
| Regulatory Event | 3 |
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.
