Joseph L. Ely

SPEEDTRADER,

Katonah, NY 10536

Some features on this profile are disabled

CRD#: 2936519

Professional summary

Joseph Leo Ely, who also goes by Joseph Leo Ely III, is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

Aliases

Joseph Leo Ely Iii

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) - BD

Click below to view Joseph Leo Ely's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 4, 2020 - Present

SPEEDTRADER, INC

Office #1: 2875 Route 35 Suite 5c-2, Katonah, NY 10536Office #2: 2875 Rt 35 Ste 5c-2, Katonah, NY 10536

CRD#: 107403

Katonah, NY

Past

May 1, 2018 - October 19, 2020

LIGHTSPEED FINANCIAL SERVICES GROUP LLC

CRD#: 104369

New York, NY

Past

January 2, 2014 - May 7, 2018

LIGHTSPEED TRADING, LLC

CRD#: 35519

NEW YORK, NY

Past

February 16, 2012 - October 8, 2013

SPEEDTRADER, INC

CRD#: 107403

WHITE PLAINS, NY

Past

May 2, 2011 - June 11, 2013

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117

NEW YORK, NY

Past

November 6, 2008 - May 4, 2012

MASTERTRADER.COM

CRD#: 47883

WHITE PLAINS, NY

Past

October 31, 2008 - November 4, 2008

NWT FINANCIAL GROUP, LLC

CRD#: 140145

ISSAQUAH, WA

Past

June 16, 2000 - October 20, 2008

MASTERTRADER.COM

CRD#: 47883

WHITE PLAINS, NY

Past

May 19, 1999 - June 12, 2002

TERRA NOVA FINANCIAL, LLC

CRD#: 37761

NEW YORK, NY

Past

June 16, 1998 - April 29, 1999

OCC DISTRIBUTORS LLC

CRD#: 18541

NEW YORK, NY

State Registrations and Notice Filings

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

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

Alabama
(11/16/2020)

Alaska
(11/16/2020)

Arizona
(11/4/2020)

Arkansas
(11/4/2020)

California
(11/4/2020)

Colorado
(11/4/2020)

Connecticut
(11/4/2020)

Delaware
(11/18/2020)

District of Columbia
(11/4/2020)

Florida
(11/4/2020)

Georgia
(11/23/2020)

Hawaii
(11/17/2020)

Idaho
(11/4/2020)

Illinois
(11/23/2020)

Indiana
(11/4/2020)

Iowa
(11/4/2020)

Kansas
(11/4/2020)

Kentucky
(11/4/2020)

Louisiana
(11/4/2020)

Maine
(11/4/2020)

Maryland
(11/4/2020)

Massachusetts
(11/4/2020)

Michigan
(11/4/2020)

Minnesota
(11/4/2020)

Mississippi
(11/4/2020)

Missouri
(11/4/2020)

Montana
(11/5/2020)

Nebraska
(11/4/2020)

Nevada
(11/4/2020)

New Hampshire
(11/4/2020)

New Jersey
(11/4/2020)

New Mexico
(11/4/2020)

New York
(11/4/2020)

North Carolina
(11/4/2020)

North Dakota
(11/4/2020)

Ohio
(11/4/2020)

Oklahoma
(11/4/2020)

Oregon
(11/4/2020)

Pennsylvania
(11/4/2020)

Puerto Rico
(11/4/2020)

Rhode Island
(11/4/2020)

South Carolina
(11/4/2020)

South Dakota
(11/4/2020)

Tennessee
(11/4/2020)

Texas
(11/4/2020)

Utah
(11/4/2020)

Vermont
(11/4/2020)

Virginia
(11/17/2020)

Washington
(11/4/2020)

West Virginia
(11/4/2020)

Wisconsin
(11/4/2020)

Wyoming
(11/4/2020)

Exams

State Security Law Exam

Series 63

Date: 7/15/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/21/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 4/27/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/15/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 6/21/2001

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/16/2000

General Securities Principal Examination

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

NYSE Arca, Inc.

Current Firm

SPEEDTRADER, INC

CRD#: 107403 / SEC#: , 8-53035

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2875 Rt 35 Ste 5c-2, Katonah, NY 10536

Mailing Address

2875 Rt 35 Ste 5c-2, Katonah, NY 10536

Phone number

(845) 531-2487

Established

New York since 06/30/1999

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
MINT GLOBAL HOLDINGS, INC.	PARENT COMPANY
ELY, JOSEPH LEO	CEO	2936519
HALL, BRIAN DANIEL	FINOP	4174803
JORDON, MARK WILLIAM JR	CCO	5961342
RAINBEAU, DAVID	COO	2964016

Disclosures

Regulatory Event	21
Arbitration	1

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.

Similar Advisors

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Brian Marchini

LPL ENTERPRISE, LLC

IAR

White Plains, NY

Philip Meese

AE WEALTH MANAGEMENT, LLC

IAR

Darien, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph L. Ely

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Leo Ely's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIGHTSPEED FINANCIAL SERVICES GROUP LLC

LIGHTSPEED TRADING, LLC

SPEEDTRADER, INC

WTS PROPRIETARY TRADING GROUP LLC

MASTERTRADER.COM

NWT FINANCIAL GROUP, LLC

MASTERTRADER.COM

TERRA NOVA FINANCIAL, LLC

OCC DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/15/1999

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 9/21/2006

Series 55

Date: 4/27/2000

Series 7

Date: 6/15/1998

Series 4

Date: 6/21/2001

Series 24

Date: 5/16/2000

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

NYSE Arca, Inc.

Current Firm

SPEEDTRADER, INC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SPEEDTRADER, INC

TRUST BUT VERIFY

Similar Advisors