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JM

Joseph M. Mancuso

Some features on this profile are disabled
CRD#: 3121119
JM

Professional summary

Joseph Michael Mancuso was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Joseph is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Joseph had worked at 15 firms, which includes WTS PROPRIETARY TRADING GROUP LLC, DIMENSION TRADING GROUP LLC, G-2 TRADINGLLC, LEGEND TRADING LLC, ECHOTRADE LLC, KOYOTE TRADING LLC, SCHOTTENFELD GROUP LLC, MADISON PROPRIETARY TRADING GROUP LLC, SANDERS MORRIS LLC, EVOLUTION FINANCIAL TECHNOLOGIES LLC, EKN FINANCIAL SERVICES INC., LIGHTSPEED PROFESSIONAL TRADING LLC, SCHONFELD SECURITIES LLC, HEARTLAND SECURITIES CORP., UBS FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 30, 2012 - November 14, 2012

WTS PROPRIETARY TRADING GROUP LLC

BD
CRD#: 148117
NEW YORK, NY
Past

April 19, 2011 - January 10, 2012

DIMENSION TRADING GROUP, LLC

BD
CRD#: 147929
NEW YORK, NY
Past

October 21, 2010 - December 8, 2010

G-2 TRADING,LLC

BD
CRD#: 44018
NEW YORK, NY
Past

November 30, 2009 - February 4, 2010

LEGEND TRADING, LLC

BD
CRD#: 150567
NEW YORK, NY
Past

October 19, 2009 - November 5, 2009

ECHOTRADE LLC

BD
CRD#: 42239
PHOENIX, AZ
Past

August 3, 2009 - September 21, 2009

KOYOTE TRADING LLC

BD
CRD#: 149672
NEW YORK, NY
Past

March 2, 2007 - September 21, 2009

SCHOTTENFELD GROUP LLC

BD
CRD#: 128103
NEW YORK, NY
Past

November 8, 2006 - March 20, 2007

MADISON PROPRIETARY TRADING GROUP, LLC

BD
CRD#: 139818
NEW YORK, NY
Past

April 1, 2005 - November 10, 2006

SANDERS MORRIS LLC

BD
CRD#: 20580
NEW YORK, NY
Past

June 14, 2004 - September 13, 2004

EVOLUTION FINANCIAL TECHNOLOGIES, LLC

BD
CRD#: 104249
ISELIN, NJ
Past

April 26, 2004 - May 27, 2004

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
MELVILLE, NY
Past

February 2, 2004 - May 11, 2004

LIGHTSPEED PROFESSIONAL TRADING LLC

BD
CRD#: 39293
NEW YORK, NY
Past

April 20, 2001 - September 24, 2002

SCHONFELD SECURITIES, LLC

BD
CRD#: 23304
JERICHO, NY
Past

May 6, 1999 - April 3, 2000

HEARTLAND SECURITIES CORP.

BD
CRD#: 43201
EDISON, NJ
Past

February 19, 1999 - April 19, 1999

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/24/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 4/24/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/17/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/8/2004
General Securities Principal Examination

Current Firm

WP
WTS PROPRIETARY TRADING GROUP LLC
WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117 / SEC#: , 8-67986

BD
Terminated by SEC on 03/06/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/09/2008
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WTS PTG HOLDINGS, LLCOWNER
CLARK, CHESTER EDMONDCEO2486219
DISCENZA, PETER VINCENT JRCHIEF COMPLIANCE OFFICER4386342
JONES, WILLIAM RUSSELLOPERATIONS MANAGER2948251
LI, XIAOYANFINOP4465893

Disclosures

Regulatory Event6

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

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117

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