Joseph A. Lianzo
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 Augustien Lianzo, who also goes by Joseph Augustine Lianzo, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2002. Joseph had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2022 - February 16, 2023
SW FINANCIAL
September 21, 2017 - June 9, 2022
SW FINANCIAL
March 30, 2017 - October 5, 2017
ARIVE CAPITAL MARKETS
September 11, 2015 - April 26, 2017
LAIDLAW & COMPANY (UK) LTD.
August 5, 2014 - September 14, 2015
CAPE SECURITIES INC.
October 15, 2012 - August 22, 2014
SW FINANCIAL
December 13, 2004 - October 15, 2012
J.P. TURNER & COMPANY, L.L.C.
August 27, 2004 - December 14, 2004
BROOKVILLE CAPITAL PARTNERS
April 30, 2003 - August 24, 2004
NEWBRIDGE SECURITIES CORPORATION
April 14, 2003 - May 27, 2003
HARRISON SECURITIES, INC.
August 23, 2002 - March 17, 2003
MILESTONE FINANCIAL SERVICES, INC.
April 22, 2002 - August 23, 2002
MILESTONE FINANCIAL SERVICES, 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
Current Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
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.
