Joseph Amatucci
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 Amatucci, who also goes by Joe Amatucci, Joseph F Amatucci, Joseph Frank Amatucci, Joseph Amatucci, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2000. Joseph had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2014 - March 23, 2021
J.P. MORGAN SECURITIES LLC
September 4, 2014 - March 23, 2021
J.P. MORGAN SECURITIES LLC
October 1, 2012 - December 31, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - December 31, 2013
J.P. MORGAN SECURITIES LLC
November 30, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 12, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
April 30, 2009 - May 27, 2010
LPL FINANCIAL LLC
April 14, 2009 - May 27, 2010
LPL FINANCIAL LLC
August 24, 2006 - April 23, 2008
PNC WEALTH MANAGEMENT LLC
August 24, 2006 - April 23, 2008
PNC WEALTH MANAGEMENT LLC
April 12, 2004 - July 19, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 12, 2004 - July 19, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 18, 2002 - April 22, 2004
UBS FINANCIAL SERVICES INC.
November 1, 2002 - April 22, 2004
UBS FINANCIAL SERVICES INC.
May 18, 2001 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
May 18, 2001 - November 6, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 23, 2000 - March 13, 2001
DAVID LERNER ASSOCIATES, INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
Current Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
