Joseph A. Cerbone
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 Anthony Cerbone, who also goes by Joe Anthony Cerbone, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1969. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2017 - August 20, 2024
XNERGY FINANCIAL LLC
February 12, 2007 - August 4, 2017
FREEDOM INVESTORS CORP.
May 11, 2005 - June 12, 2006
MARKEL NEWTON
January 10, 2003 - March 10, 2005
ICG SECURITIES LTD.
April 13, 2001 - June 10, 2002
AMERICAN INVESTMENT SERVICES, INC.
June 19, 1996 - February 5, 2002
TRAVIS MORGAN SECURITIES INC.
November 19, 1993 - December 31, 1996
SPECTRUM SECURITIES, INC.
April 12, 1990 - September 22, 1993
ARAGON FINANCIAL SERVICES, INC.
April 20, 1988 - February 6, 1990
ROSE SECURITIES CORPORATION
April 6, 1987 - August 10, 1987
CONCORD ASSETS SECURITIES, INC.
June 14, 1985 - July 28, 1987
INVESTORS BROKERAGE SERVICES, INC.
September 12, 1978 - September 9, 1985
UBS FINANCIAL SERVICES INC.
March 15, 1974 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
July 2, 1973 - April 20, 1974
DUPONT WALSTON, INCORPORATED
January 10, 1969 - July 2, 1973
DUPONT GLORE FORGAN 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 1
Date: 1/6/1969
Registered Representative ExaminationSeries 40
Date: 8/31/1972
Registered Principal ExaminationCurrent Firm
XNERGY FINANCIAL LLC
CRD#: 144436 / SEC#: , 8-67655
Contact information
FINRA licenses (3 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
