Joseph John Cacciotti
Professional Summary
Joseph John Cacciotti was a registered financial advisor. Joseph was a previously registered financial professional and started their career in finance 1968 - 2012. Joseph had worked at 4 firms and has passed the Series 63, PC, Series 1 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
65 years in the financial services industry
Current & Past Employments
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Current Firm
2X WEALTH GROUP | STEWART ASSET MANAGEMENT TEAM | NOBSKA CAPITAL MANAGEMENT | INGALLS INVESTMENT MANAGEMENT, LLC | INGALLS & SNYDER, LLC | INGALLS & SNYDER LLC | INGALLS & SNYDER | FUNDAMENTAL EQUITY ADVISORS | BRIDGEHAMPTON GROUP | 6TH AVENUE TEAM
Contact Information
Main Address
1 Rockefeller Plaza 7th Floor, New York, NY 10020Mailing Address
1 Rockefeller Plaza 7th Floor, New York, NY 10020Phone Number
(212) 269-7800Established
New York since 01/02/1996Firm Type
Limited Liability CompanyFiscal Year End
SeptemberFirm Size
Small# of Employees
50FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
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
4,453AUM (Assets Under Management)
$7,826,602,578Disclosures
Regulatory Event
18Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/24/2026 | Cover Page | Report |
| 10/28/2025 | Cover Page | Report |
| 08/22/2024 | Cover Page | Report |
| 09/27/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Sep 1977Series 1 — Registered Representative Examination
Passed Jan 1961Series 40 — Registered Principal Examination
Passed May 1968Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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