Joseph Pantginis

H.C.WAINWRIGHT & CO.

New York, NY 10022

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CRD#: 4407802

Professional summary

Joseph Pantginis is a registered financial professional currently at H.C.WAINWRIGHT & CO., LLC located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2001. Joseph has worked at 9 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Pantginis's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 5, 2017 - Present

H.C.WAINWRIGHT & CO., LLC

Office #1: 430 Park Avenue 4th Floor, New York, NY 10022

CRD#: 375

New York, NY

Past

January 3, 2017 - June 19, 2017

RODMAN & RENSHAW, LLC

CRD#: 281264

New York, NY

Past

December 14, 2009 - December 19, 2016

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407

NEW YORK, NY

Past

October 3, 2008 - December 9, 2009

MERRIMAN CAPITAL, INC.

CRD#: 18296

NEW YORK, NY

Past

March 3, 2005 - October 13, 2008

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

December 18, 2003 - February 24, 2005

J. B. HANAUER & CO.

CRD#: 6958

PARSIPPANY, NJ

Past

December 17, 2002 - September 17, 2003

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

February 11, 2002 - July 18, 2002

TD WEALTH MANAGEMENT SERVICES INC.

CRD#: 6940

PHILADELPHIA, PA

Past

September 18, 2001 - February 20, 2002

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(6/19/2017)

Exams

State Security Law Exam

Series 63

Date: 5/16/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 2/18/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 12/22/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 9/17/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/11/2020

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

H.C.WAINWRIGHT & CO., LLC

CRD#: 375 / SEC#: , 8-43115

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

430 Park Avenue 4th Floor, New York, NY 10022

Mailing Address

430 Park Avenue 4th Floor, New York, NY 10022

Phone number

(212) 356-0500

Established

Delaware since 04/10/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
HCWHC INC	SHAREHOLDER
KAPLAN, MARK ELIOT	CEO	2618079
KIRSCH, KENNETH JOHN	CFO	1671480
KIRSCH, KENNETH JOHN	FINOP	1671480
SILVERA, EDWARD DAVID	CHIEF OPERATIONS OFFICER	6216348
YANOW, JONATHAN TODD	CHIEF COMPLIANCE OFFICER	6516303

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Joseph Pantginis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Pantginis's CRS (Customer Relationship Summary).

Certified licenses

Experience

RODMAN & RENSHAW, LLC

ROTH CAPITAL PARTNERS, LLC

MERRIMAN CAPITAL, INC.

CANACCORD GENUITY LLC

J. B. HANAUER & CO.

GLEACHER & COMPANY SECURITIES, INC.

TD WEALTH MANAGEMENT SERVICES INC.

LADENBURG THALMANN & CO. INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/16/2002

SIE

Date: 10/1/2018

Series 86

Date: 2/18/2005

Series 87

Date: 12/22/2004

Series 7

Date: 9/17/2001

Series 24

Date: 12/11/2020

FINRA

Current Firm

H.C.WAINWRIGHT & CO., LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

H.C.WAINWRIGHT & CO., LLC

TRUST BUT VERIFY

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