Joseph D. Nappi
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 David Nappi was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1998. Joseph had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2019 - October 1, 2020
FISHER INVESTMENTS
November 25, 2015 - September 16, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 25, 2015 - September 16, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 22, 2015 - November 3, 2015
PNC WEALTH MANAGEMENT LLC
June 22, 2015 - November 3, 2015
PNC WEALTH MANAGEMENT LLC
May 21, 2012 - August 22, 2014
SSN ADVISORY, INC.
May 21, 2012 - August 22, 2014
SECURITIES SERVICE NETWORK, LLC
July 21, 2010 - May 18, 2012
BROKERSXPRESS LLC
July 21, 2010 - May 18, 2012
BROKERSXPRESS LLC
September 15, 2008 - August 4, 2010
CITIZENS SECURITIES, INC.
September 15, 2008 - August 4, 2010
CITIZENS SECURITIES, INC.
June 5, 2007 - September 8, 2008
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 5, 2007 - September 8, 2008
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 10, 2005 - June 5, 2007
RYAN BECK & CO.
April 29, 2002 - June 5, 2007
RYAN BECK & CO.
November 29, 2000 - May 20, 2002
GRUNTAL & CO., L.L.C.
May 24, 1999 - November 16, 2000
MORGAN STANLEY DW INC.
October 13, 1998 - April 20, 1999
WALNUT STREET SECURITIES, INC.
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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