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JP

Joseph F. Pappalardo

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CRD#: 4188704
JP

Professional summary

Joseph Frank Pappalardo JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Joseph is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Joseph had worked at 4 firms, which includes PHILLIP LOUIS TRADING INC., GREAT EASTERN SECURITIES INC., CHICAGO INVESTMENT GROUP LLC, GRADY AND HATCH & COMPANY INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 10, 2003 - March 4, 2003

PHILLIP LOUIS TRADING, INC.

BD
CRD#: 19378
RED BANK, NJ
Past

January 15, 2002 - January 21, 2003

GREAT EASTERN SECURITIES, INC.

BD
CRD#: 2061
NEW YORK, NY
Past

June 4, 2001 - August 29, 2001

CHICAGO INVESTMENT GROUP, LLC

BD
CRD#: 11853
CHICAGO, IL
Past

June 4, 2001 - December 17, 2001

GRADY AND HATCH & COMPANY, INC.

BD
CRD#: 14262
STATEN ISLAND, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 1/28/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/1/2001
General Securities Representative Examination

Current Firm

PL
PHILLIP LOUIS TRADING, INC.
EUROPEAN EQUITY PARTNERS, INC. | PHILLIP LOUIS TRADING, INC. | MORAN & COMPANY, INC. | MORAN & ASSOCIATES, INC. SECURITIES BROKERAGE

CRD#: 19378 / SEC#: , 8-37365

BD
Terminated by SEC on 10/17/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Connecticut since 01/29/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SUNCOAST HOLDINGS, INC.OWNER
FIGLIOLINI, JOHNNY PHILLIP JR.CHAIRMAN, DIRECTOR, GENERAL PRINCIPAL, COMPLIANCE OFFICER1058617
GOLDSTEIN, MICHAEL ROBERTGENERAL PRINCIPAL1819371
KEEFE, DAVID BRIANGENERAL PRINCIPAL1793316
MARTE, RAFAEL LUISFINOP4304158

Disclosures

Regulatory Event6
Civil Event1

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.

Company Information

PHILLIP LOUIS TRADING, INC.

CRD#: 19378

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