Joseph S. Puliafico
Professional summary
Joseph S Puliafico, who also goes by Joseph S Puliafico Mr, is a registered financial professional currently at B. RILEY SECURITIES, INC. located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2002. Joseph has worked at 4 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph S Puliafico's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 16, 2019 - Present
B. RILEY SECURITIES, INC.
Office #1: 299 Park Avenue 21st Floor, New York, NY 10171June 14, 2010 - October 10, 2019
SG AMERICAS SECURITIES, LLC
May 6, 2008 - June 8, 2010
NATIXIS SECURITIES NORTH AMERICA INC.
November 18, 2002 - March 19, 2008
LEHMAN BROTHERS 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
(10/16/2019)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/17/2012
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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