Joseph A. Vafi
Professional summary
Joseph Anthony Vafi, who also goes by Joe Vafi, is a registered financial professional currently at CANACCORD GENUITY LLC located in San Francisco, California.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2000. Joseph has worked at 6 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Anthony Vafi's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 11, 2019 - Present
CANACCORD GENUITY LLC
Office #1: 44 Montgomery Street Suite 1600, San Francisco, CA 94104November 30, 2016 - June 21, 2019
LOOP CAPITAL MARKETS LLC
May 31, 2013 - October 6, 2016
GREAT GABLE PARTNERS, LP
July 21, 2003 - April 16, 2004
JEFFERIES/QUARTERDECK, LLC
April 22, 2003 - July 21, 2003
JEFFERIES/QUARTERDECK, LLC
August 20, 2002 - September 2, 2011
JEFFERIES LLC
April 11, 2000 - August 19, 2002
ROBERTSON STEPHENS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/11/2020)
(3/11/2020)
Exams
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
CANACCORD GENUITY LLC
CRD#: 1020 / SEC#: , 8-3271
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | |
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
Disclosures
| Regulatory Event | 45 |
| Bond | 1 |
Red Flags
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