Joseph J. Cacciotti

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CRD#: 37832

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 Cacciotti was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1968. Joseph had worked at 4 firms and has passed the Series 63, PC, Series 1 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

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

February 25, 1993 - May 3, 2012

INGALLS & SNYDER, LLC

CRD#: 2288

NEW YORK, NY

Past

October 3, 1988 - February 25, 1993

DOMINICK & DICKERMAN LLC

CRD#: 7344

OLD GREENWICH, CT

Past

April 27, 1985 - October 3, 1988

DOMIK CORP.

CRD#: 223

Past

March 8, 1972 - October 14, 1978

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

Past

May 15, 1968 - October 3, 1988

DOMIK CORP.

CRD#: 223

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INGALLS & SNYDER, LLC

CRD#: 2288 / SEC#: 801-5016, 8-1865

RIA

Registered Investment Advisory firm - SEC (8/21/1968 Approved)

Vermont

Registered Investment Advisory firm - SEC (11/6/2001 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/12/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 9/8/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 1/12/1961

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 5/10/1968

Registered Principal Examination

Current Firm

INGALLS & SNYDER, LLC

CRD#: 2288 / SEC#: 801-5016, 8-1865

RIA

Registered Investment Advisory firm - SEC (8/21/1968 Approved)

Vermont

Registered Investment Advisory firm - SEC (11/6/2001 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1 Rockefeller Plaza 7th Floor, New York, NY 10020

Mailing Address

1 Rockefeller Plaza 7th Floor, New York, NY 10020

Phone number

(212) 269-7800

Established

New York since 01/02/1996

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Small

# of Employees

SEC notice filing (48 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

INGS_BROCHURE_05152025 (5/16/2025)

Direct owners and executive officers

Name	Position	CRD#
I&S GROUP, LLC	PARENT HOLDING COMPANY
BOUCHER, THOMAS ONEIL JR	MANAGING DIRECTOR	730430
CASE, ROBERT ANTHONY	CHIEF EXECUTIVE OFFICER	1367765
CASE, ROBERT ANTHONY	SENIOR MANAGING DIRECTOR	1367765
DOUGHERTY, JOHN JOSEPH	MANAGING DIRECTOR	1960029
GARRISON, APHRODITE MAVRICOS	MANAGING DIRECTOR	1763811
GRISANTI, ADAM F	EXECUTIVE DIRECTOR	4413657
GRISANTI, ADAM F	CHIEF OPERATIONS OFFICER	4413657
GRISANTI, ADAM F	CHIEF FINANCIAL OFFICER	4413657
JANOVIC, ADAM DAVID	MANAGING DIRECTOR	1521203
LANE-ZUCKER, KEITH SIMON	MANAGING DIRECTOR	4050531
MCLEAN, ALICE BARZUN	MANAGING DIRECTOR	4477581
MEEHAN, SEAN PATRICK	MANAGING DIRECTOR	5033839
PARK, CHRISTIAN CHIHONG	EXECUTIVE DIRECTOR	3106787
PARK, CHRISTIAN CHIHONG	CHIEF COMPLIANCE OFFICER	3106787
RIEGEL, GUY RICHARDS	MANAGING DIRECTOR	1050269
THATCHER, JAMES EDWIN	MANAGING DIRECTOR	5872101
WESTON, CHRISTINE ELIZABETH	MANAGING DIRECTOR	1136404

Regulatory assets under management

Total Number of Accounts	4,189
AUM (Assets Under Management)	$ 6,897,915,721

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
08/22/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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.

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Firm Stability Insights

Joseph J. Cacciotti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DOMINICK & DICKERMAN LLC

DOMIK CORP.

JANNEY MONTGOMERY SCOTT LLC

DOMIK CORP.

Primary Firm SEC Registration

INGALLS & SNYDER, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/12/1991

PC

Date: 9/8/1977

Series 1

Date: 1/12/1961

Series 40

Date: 5/10/1968

Current Firm

INGALLS & SNYDER, LLC

Contact information

SEC notice filing (48 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

INGALLS & SNYDER, LLC

TRUST BUT VERIFY

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