Joseph G. Lopresti
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 G Lopresti, who also goes by Joseph Gerard Lopresti, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1999. Joseph had worked at 5 firms and has passed the Series 65, Series 63, Series 21, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2015 - September 21, 2016
LIDO
November 19, 2007 - May 21, 2010
HSBC SECURITIES (USA) INC.
October 1, 2000 - August 31, 2007
BANC OF AMERICA SPECIALIST, INC.
June 5, 2000 - August 25, 2000
APEX CLEARING CORPORATION
November 1, 1999 - November 30, 1999
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
Primary Firm SEC Registration
LIDO
CRD#: 269866 / SEC#: 801-100433
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
Series 21
Date: 11/21/2000
NYSE Front Line Specialist ClerkSeries 25
Date: 9/27/1999
NYSE Trading Assistant ExaminationCurrent Firm
LIDO
CRD#: 269866 / SEC#: 801-100433
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 27,931 |
| AUM (Assets Under Management) | $ 29,080,337,946 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 11/26/2024 | ||
| 01/26/2024 | ||
| 02/28/2023 |
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.
