Joseph C. Amico
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 Charles Amico was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2000. Joseph had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 28 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
January 10, 2014 - October 9, 2014
TAVIRA SECURITIES US LLC
January 28, 2008 - December 11, 2013
TAVIRA SECURITIES US LLC
December 17, 2004 - November 13, 2006
LACONIA CAPITAL CORPORATION
August 24, 2000 - December 31, 2002
CITIGROUP GLOBAL MARKETS 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
Exams
Series 28
Date: 6/9/2011
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
TAVIRA SECURITIES US LLC
CRD#: 145046 / SEC#: , 8-67697
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TAVIRA US LLC | MEMBER OWNER | |
| KARPEL, STEVEN ROY | CEO/PRESIDENT/CCO/FINOP | 2100626 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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