Joseph Pantginis
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
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Pantginis's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 5, 2017 - Present
H.C.WAINWRIGHT & CO., LLC
Office #1: 430 Park Avenue 4th Floor, New York, NY 10022January 3, 2017 - June 19, 2017
RODMAN & RENSHAW, LLC
December 14, 2009 - December 19, 2016
ROTH CAPITAL PARTNERS, LLC
October 3, 2008 - December 9, 2009
MERRIMAN CAPITAL, INC.
March 3, 2005 - October 13, 2008
CANACCORD GENUITY LLC
December 18, 2003 - February 24, 2005
J. B. HANAUER & CO.
December 17, 2002 - September 17, 2003
GLEACHER & COMPANY SECURITIES, INC.
February 11, 2002 - July 18, 2002
TD WEALTH MANAGEMENT SERVICES INC.
September 18, 2001 - February 20, 2002
LADENBURG THALMANN & CO. 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
(6/19/2017)
Exams
FINRA
NYSE American LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
H.C.WAINWRIGHT & CO., LLC
CRD#: 375 / SEC#: , 8-43115
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 16 |
Red Flags
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