Joseph S. Oricoli
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 Stephen Oricoli was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1970. Joseph had worked at 12 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 3, Series 5, Series 1, Series 53, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2020 - June 5, 2024
ROBERTS & RYAN, INC.
March 22, 2019 - July 21, 2020
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 15, 2019 - July 21, 2020
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 31, 2008 - January 10, 2019
FIRST EMPIRE ASSET MANAGEMENT, INC
June 7, 2005 - March 15, 2019
FIRST EMPIRE SECURITIES, INC.
July 15, 1994 - June 27, 1996
CITIGROUP GLOBAL MARKETS INC.
January 10, 1991 - May 13, 1994
CREDIT SUISSE SECURITIES (USA) LLC
June 26, 1984 - September 23, 1985
LEHMAN BROTHERS INC.
February 27, 1980 - January 3, 1991
MORGAN STANLEY & CO. LLC
August 10, 1979 - February 27, 1980
MORGAN STANLEY & CO., INCORPORATED
February 22, 1978 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 1, 1976 - July 28, 1979
LEHMAN SPECIAL SECURITIES INC.
September 23, 1970 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 5
Date: 3/16/1982
Interest Rate Options ExaminationSeries 1
Date: 9/21/1970
Registered Representative ExaminationSeries 40
Date: 5/20/1976
Registered Principal ExaminationCurrent Firm
ROBERTS & RYAN, INC.
CRD#: 19456 / SEC#: 801-113965, 8-37469
Contact information
FINRA licenses (32 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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