Joseph M. Gagliardi
Professional summary
Joseph Michael Gagliardi is a registered financial professional currently at BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC located in Newark, New Jersey.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2002. Joseph has worked at 3 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Michael Gagliardi's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 16, 2013 - Present
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
Office #1: 2 Gateway Center 283-299 Market St., Newark, NJ 07102-5005Office #2: 110 W Park Drive, Mount Laurel, NJ 08054August 24, 2006 - June 1, 2012
APEX CLEARING CORPORATION
April 26, 2002 - July 18, 2006
CHARLES SCHWAB & 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
(2/22/2013)
(2/22/2013)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/26/2003
Limited Representative-Equity Trader ExamFINRA
Current Firm
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
CRD#: 114212 / SEC#: , 8-53412
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROADRIDGE BPO HOLDING LLC | SOLE MEMBER | |
| ALEXANDER, MICHAEL JAY | CEO/PRESIDENT/ MANAGER ON THE BOARD OF MANAGERS | 1428753 |
| BEUTELSCHIES, WILL SAMUEL | DIRECTOR OF COMPLIANCE: AMLCO | 2779204 |
| CASS, ALBERT JOHN LLL | VICE PRESIDENT | 2182652 |
| DEONIER, CHRISTIAN WILLIAM | SENIOR VICE PRESIDENT | 2829240 |
| GIACALONE, THOMAS A. | PRINCIPAL OPERATING OFFICER / MANAGER ON THE BOARD OF MANAGERS | 2873774 |
| JUHL, SVETLANA | MANAGER ON THE BOARD OF MANAGERS | 6154375 |
| PERRY, CHRISTOPHER JOHN | MANAGER ON THE BOARD OF MANAGERS | 1841603 |
| PORT, JAMES EDWARD | CHIEF COMPLIANCE OFFICER | 2366427 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER / VP / TREASURER / FINOP | 1821188 |
Red Flags
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