Joseph Leo Ely
Professional Summary
Joseph Leo Ely, who also goes by Joseph Leo Ely III, is a registered financial advisor currently at SPEEDTRADER, INC located in Katonah, New York. Joseph is registered as a RR (Registered Representative) and started their career in finance in 1998. Joseph has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Joseph Leo Ely Iii
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
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Current Firm
MINT GLOBAL MARKETS, INC. | STOCK USA INVESTMENTS, INC | STOCK USA INVESTMENTS | STOCK USA EXECUTION SERVICES, INC | STOCK USA | SPRINTTRADER | SPEEDTRADERPRO | SPEEDTRADER.COM, INC. | SPEEDTRADER, INC | SPEEDTRADER
Contact Information
Main Address
2875 Rt 35 Ste 5c-2, Katonah, NY 10536Mailing Address
2875 Rt 35 Ste 5c-2, Katonah, NY 10536Phone Number
(845) 531-2487Established
New York since 06/30/1999Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
21Arbitration
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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
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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 Apr 2000SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Joseph Leo Ely's CRS (Customer Relationship Summary).
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