Joseph Anthony Cerbone
Professional Summary
Joseph Anthony Cerbone, who also goes by Joe Anthony Cerbone, was a registered financial advisor. Joseph was a previously registered financial professional and started their career in finance 1969 - 2024. Joseph had worked at 15 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 1, Series 24, Series 4 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Joe Anthony Cerbone
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
57 years in the financial services industry
Current & Past Employments
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Current Firm
XNERGY FINANCIAL CORPORATION | XNERGY FINANCIAL LLC
Contact Information
Main Address
1801 Century Park East 25th Floor, Los Angeles, CA, 90067Mailing Address
1801 Century Park East 25th Floor, Los Angeles, CA, 90067Phone Number
(310) 552-0000Established
California since 12/15/2008Firm Type
Limited Liability CompanyFiscal Year End
JuneFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
1Similar Advisors
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 1 — Registered Representative Examination
Passed Jan 1969Series 40 — Registered Principal Examination
Passed Aug 1972Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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