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JI

Joseph M. Insalaco

DAI SECURITIES
RALEIGH, NC 27607
Some features on this profile are disabled
CRD#: 2978175
JI

Professional summary

Joseph Michael Insalaco, CFP®, who also goes by Joseph Insalaco, is a registered financial professional currently at DAI SECURITIES, LLC located in Raleigh, North Carolina.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1999. Joseph has worked at 10 firms and has passed the Series 66, Series 6TO, SIE, Series 7 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph Insalaco

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 Michael Insalaco'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®
CFP®

Certified Financial Planner

Start date: 2003

Experience

Current

July 30, 2024 - Present

DAI SECURITIES, LLC

Office #1: 1500 Sunday Dr Suite 300, Raleigh, NC 27607Office #3: 445 Broad Hollow Road Ste 25, Melville, NY 11747
BD
CRD#: 36673
RALEIGH, NC
Past

May 30, 2015 - August 2, 2024

CONCORDE INVESTMENT SERVICES, LLC

BD
CRD#: 151604
Melville, NY
Past

January 3, 2011 - May 29, 2015

TRIAD ADVISORS LLC

BD
CRD#: 25803
LAKE SUCCESS, NY
Past

January 21, 2010 - November 30, 2010

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
CORNWALL, NY
Past

October 11, 2007 - February 9, 2010

OMNI BROKERAGE, INC.

BD
CRD#: 16878
SOUTH JORDAN, UT
Past

August 21, 2006 - October 24, 2007

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
LONG ISLAND CITY, NY
Past

December 8, 2003 - August 28, 2006

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
GARDEN CITY, NY
Past

October 21, 2003 - December 8, 2003

FLAGSTAR ADVISORS

RIA
CRD#: 104233
GARDEN CITY, NY
Past

March 4, 2003 - December 8, 2003

FLAGSTAR ADVISORS

BD
CRD#: 104233
NEW YORK, NY
Past

February 11, 2002 - January 8, 2003

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

March 15, 1999 - February 19, 2002

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

March 15, 1999 - February 19, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
California
(7/30/2024)
RR
Connecticut
(7/30/2024)
RR
Florida
(7/30/2024)
RR
Kentucky
(11/25/2024)
RR
Maryland
(7/30/2024)
RR
Massachusetts
(7/31/2024)
RR
New Jersey
(7/30/2024)
RR
New York
(7/30/2024)
RR
North Carolina
(7/30/2024)
RR
Pennsylvania
(7/30/2024)
RR
South Carolina
(7/31/2024)
RR
Texas
(7/30/2024)
RR
Virginia
(7/30/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/29/1999
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/12/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 11/12/1997
National Commodity Futures Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DAI SECURITIES, LLC
DAI SECURITIES, LLC | LEWIS FINANCIAL GROUP, L.C.

CRD#: 36673 / SEC#: , 8-47393

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345
Mailing Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345
Phone number
(404) 531-7080
Established
Minnesota since 05/31/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DAI HOLDINGS, LLCMEMBER
CC CAPITAL HOLDINGS, LLCMEMBER
MICHAEL O'TOOLE REAL ESTATE, INC.MEMBER
CARTER, ANA RFINOP4424794
INGBER, MATTHEW ALANCOO3261552
MICHALETZ, CHRISTINE ELLENMANAGING MEMBER6004009
MICHALETZ, JOSEPH GERARDCEO1327534
STRAUSS, ERNEST GEORGE IVCCO4660664

Disclosures

Regulatory Event2

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.

Company Information

DAI SECURITIES, LLC

CRD#: 36673Raleigh, NC 27607

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