Joseph A. Polverino

INSTITUTIONAL BOND NETWORK

Thousand Oaks, CA 91360

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CRD#: 4574093

Professional summary

Joseph Anthony Polverino is a registered financial professional currently at INSTITUTIONAL BOND NETWORK, LLC located in Thousand Oaks, California.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2003. Joseph has worked at 5 firms and has passed the Series 63, Series 57TO, Series 52TO, SIE, Series 55, Series 7 and Series 53 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 Anthony Polverino's 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

March 4, 2025 - Present

INSTITUTIONAL BOND NETWORK, LLC

Office #1: 463 Pennsfield Pl Suite 201, Thousand Oaks, CA 91360

CRD#: 187515

Thousand Oaks, CA

Past

March 4, 2019 - March 3, 2025

DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446

NEW YORK, NY

Past

June 15, 2015 - December 4, 2018

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

NEW YORK, NY

Past

January 2, 2013 - June 2, 2015

STERNE, AGEE & LEACH, INC.

CRD#: 791

NEW YORK, NY

Past

August 29, 2003 - January 9, 2013

OPPENHEIMER & CO. INC.

CRD#: 249

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

California
(3/4/2025)

New York
(3/4/2025)

Exams

State Security Law Exam

Series 63

Date: 10/3/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 1/21/2004

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/28/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 5/11/2012

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

INSTITUTIONAL BOND NETWORK, LLC

ARBITRAGE MANAGEMENT GROUP | INSTITUTIONAL BOND NETWORK, LLC

CRD#: 187515 / SEC#: , 8-69609

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

463 Pennsfield Place, Suite 201, Thousand Oaks, CA 91360

Mailing Address

463 Pennsfield Place, Suite 201, Thousand Oaks, CA 91360

Phone number

(805) 402-2541

Established

Delaware since 01/27/2025

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HAGGE, ERIK NICHOLAS	SENIOR PARTNER, MUNI PRINCIPAL	3244703
DICKINSON, MARTIN JOHN	OWNER	1352810
NATALE, CHRISTOPHER JOHN	MANAGING MEMBER & PROPRIETARY TRADER	4870483
SWEENEY, PATRICK WILLIAM	OWNER	1350182
ACTON STROIA FAMILY TRUST	TRUST
ACTON, BRIAN LEONARD	TRUSTEE FOR ACTION STROIA FAMILY TRUST	8167174
CLARK, CATHERINE MARIAN	CHIEF COMPLIANCE OFFICER	4384961
GILMAN, ROBERT CRAIG	FINOP/CFO/PFO/POO	1738412
KNIPPA, GARY LOUIS	INVESTOR	8167504
MATHENY, GREGORY SCOTT	INVESTOR	8167208
NGUYEN, HOAN-VU TRAN	INVESTOR	8163339
O'MARA, CHRISTOPHER ROY	PROPRIETARY TRADER	1657262
RUFFIER, WILLIAM EUGENE	INVESTOR	8167148
STROIA, SHARON MARIE	TRUSTEE FOR ACTION STROIA FAMILY TRUST	8168236

Red Flags

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Joseph A. Polverino

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

DINOSAUR FINANCIAL GROUP, L.L.C

ADVISORS ASSET MANAGEMENT, INC.

STERNE, AGEE & LEACH, INC.

OPPENHEIMER & CO. INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/3/2003

Series 57TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 1/21/2004

Series 7

Date: 8/28/2003

Series 53

Date: 5/11/2012

FINRA

Current Firm

INSTITUTIONAL BOND NETWORK, LLC

Contact information

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

INSTITUTIONAL BOND NETWORK, LLC

TRUST BUT VERIFY

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