Joseph P. Spallo
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 Philip Spallo was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1970. Joseph had worked at 6 firms and has passed the Series 63, Series 1, Series 53, Series 27, Series 4 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
September 21, 2005 - December 12, 2006
VALDES & MORENO, INC.
June 3, 1986 - December 12, 2006
NEIGHBORLY SECURITIES
March 11, 1976 - July 8, 1986
LOWELL H. LISTROM & COMPANY INC.
October 2, 1973 - March 11, 1976
LOWELL H LISTROM & CO INC
September 18, 1971 - October 31, 1973
A. G. EDWARDS & SONS, INC.
February 13, 1970 - October 24, 1971
BACHE & CO INCORPORATED
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 1
Date: 2/9/1970
Registered Representative ExaminationCurrent Firm
VALDES & MORENO, INC.
CRD#: 37560 / SEC#: , 8-47810
Contact information
FINRA licenses (5 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LISTROM, MARCO REID | PRESIDENT & CHIEF COMPLIANCE OFFICER | 310764 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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.
