Joseph M. Petriccione
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 Michael Petriccione, who also goes by Joe Petriccione, Joseph Petriccione, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1999. Joseph had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2024 - September 29, 2025
SYNOVUS SECURITIES, INC.
May 1, 2024 - September 29, 2025
SYNOVUS SECURITIES, INC.
January 21, 2014 - June 4, 2019
CETERA INVESTMENT ADVISERS LLC
September 13, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
September 12, 2013 - June 4, 2019
CETERA INVESTMENT SERVICES LLC
February 13, 2012 - August 20, 2013
FIRST CITIZENS ASSET MANAGEMENT, INC
January 19, 2012 - August 20, 2013
FIRST CITIZENS SECURITIES CORPORATION
February 13, 2009 - January 10, 2012
MORGAN KEEGAN & COMPANY, LLC
February 11, 2009 - January 10, 2012
MORGAN KEEGAN & COMPANY, LLC
May 2, 2006 - January 7, 2009
WELLS FARGO CLEARING SERVICES, LLC
April 24, 2006 - January 7, 2009
WELLS FARGO CLEARING SERVICES, LLC
June 10, 2005 - March 23, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 27, 2005 - March 23, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 20, 2004 - June 15, 2005
TRUIST INVESTMENT SERVICES, INC.
October 15, 2004 - June 15, 2005
TRUIST INVESTMENT SERVICES, INC.
October 17, 2002 - October 12, 2004
SOUTHTRUST SECURITIES, LLC
August 19, 2002 - November 14, 2002
WELLS FARGO CLEARING SERVICES, LLC
January 22, 2001 - November 14, 2002
WELLS FARGO CLEARING SERVICES, LLC
November 28, 2000 - December 8, 2000
BB&T INVESTMENT SERVICES, INC.
October 1, 2000 - November 29, 2000
WELLS FARGO CLEARING SERVICES, LLC
January 12, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
SYNOVUS SECURITIES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
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
SYNOVUS SECURITIES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYNOVUS FINANCIAL CORP. | SYNOVUS SECURITIES, INC PARENT | |
| BROOKS, WILLIAM THOMAS | CHIEF COMPLIANCE OFFICER | 5028846 |
| ELEAM, JENNA KELLEY | CHIEF FINANCIAL OFFICER / FINOP | 7801582 |
| GUNDERSON, GENE FREDERICK | DIRECTOR OF COMPLIANCE, TRUST & BROKERAGE | 2914172 |
| HILL, JAYNE BARRY | DIRECTOR/PRESIDENT OF WEALTH SERVICES | 7660902 |
| KIRK, LEAH JEANETTE | CHIEF OPERATIONS OFFICER | 2217286 |
| LAW, ROBERT WARD | PRESIDENT - CFG DIVISION | 1399885 |
| MCKENZIE, MICHELLE JESSUP | ROP | 2475731 |
| SEXTON, GUY LEONARD | EVP/DIRECTOR | 1204541 |
| VARNER, ROBERT PARKER | PRESIDENT | 2192715 |
Regulatory assets under management
| Total Number of Accounts | 11,990 |
| AUM (Assets Under Management) | $ 7,086,116,735 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 10/27/2023 |
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.
