Joseph J. Piazza
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 John Piazza, who also goes by Joe Piazza, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1973. Joseph had worked at 17 firms and has passed the Series 63, Series 65, Series 3, Series 1, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2014 - October 26, 2017
ROBERTSON STEPHENS ADVISORS
May 19, 2006 - December 18, 2006
SAGETRADER, LLC
January 3, 2006 - December 18, 2006
SAGETRADER, LLC
March 11, 2005 - October 24, 2005
S & Y ASSET MANAGEMENT LLC
July 14, 2004 - December 15, 2005
STONE & YOUNGBERG LLC
April 28, 2004 - October 24, 2005
S & Y ASSET MANAGEMENT LLC
January 21, 2004 - April 30, 2005
BRIDGE ASSET MANAGEMENT, LLC
November 18, 1999 - August 19, 2002
ROBERTSON STEPHENS, INC.
November 4, 1998 - August 19, 2002
ROBERTSON STEPHENS, INC.
January 22, 1996 - December 7, 1998
ABN AMRO SECURITIES LLC
December 23, 1991 - October 31, 1995
MONTGOMERY SECURITIES
September 25, 1990 - December 2, 1991
PIAZZA SECURITIES, INC.
June 19, 1990 - July 13, 1990
SPRINGER INVESTMENT & SECURITIES CO., INC.
March 27, 1990 - June 26, 1990
M.J. LOESER & CO., INC.
September 22, 1988 - February 20, 1990
MCKINLEY ALLSOPP, INC.
April 8, 1985 - July 11, 1987
PERSHING LLC
January 12, 1984 - February 21, 1985
SBC WARBURG DILLON READ INC.
July 25, 1977 - January 23, 1984
GOLDMAN SACHS & CO. LLC
February 24, 1977 - August 2, 1977
NORMANDY SECURITIES INCORPORATED
June 1, 1973 - June 1, 1977
H.C.WAINWRIGHT & CO., LLC
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 1
Date: 5/24/1973
Registered Representative ExaminationSeries 8
Date: 10/9/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ROBERTSON STEPHENS ADVISORS
CRD#: 166736 / SEC#: 801-77828
Contact information
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