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JS

Joseph B. Sindelar

EQUUS FINANCIAL CONSULTING LLC
New Canaan, CT 06840
Some features on this profile are disabled
CRD#: 4622549
JS

Professional summary

Joseph Basil Sindelar JR is a registered financial professional currently at EQUUS FINANCIAL CONSULTING LLC located in New Canaan, Connecticut.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2003. Joseph has worked at 9 firms and has passed the Series 66, Series 99TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Basil Sindelar JR's CRS (Customer Relationship Summary).
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

August 2, 2010 - Present

EQUUS FINANCIAL CONSULTING LLC

Office #1: 78 Pine St., Suite 101, New Canaan, CT 06840
BD
CRD#: 131449
New Canaan, CT
Past

September 28, 2009 - November 20, 2009

SOUTHRIDGE WEALTH MANAGEMENT LLC

RIA
CRD#: 136707
NEW YORK, NY
Past

September 2, 2008 - July 29, 2010

SOUTHRIDGE INVESTMENT GROUP LLC

BD
CRD#: 45531
NEW CANAAN, CT
Past

July 3, 2006 - October 3, 2008

INNER HARBOR ASSET MANAGEMENT

RIA
CRD#: 109031
WILTON, CT
Past

April 28, 2006 - September 2, 2008

THE RIDERWOOD GROUP INCORPORATED

BD
CRD#: 16681
WILTON, CT
Past

June 1, 2005 - May 16, 2006

GREENWICH GLOBAL, LLC

BD
CRD#: 37304
WILTON, CT
Past

May 31, 2005 - June 30, 2006

SOUND FINANCIAL ADVISORS

RIA
CRD#: 126276
WILTON, CT
Past

March 25, 2004 - December 13, 2004

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA
CRD#: 109591
PARSIPPANY, NJ
Past

April 30, 2003 - December 13, 2004

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
California
(9/2/2010)
RR
Connecticut
(8/2/2010)
RR
Florida
(1/2/2024)
RR
Georgia
(4/17/2025)
RR
Illinois
(3/10/2011)
RR
Louisiana
(1/7/2022)
RR
Maryland
(1/2/2024)
RR
Massachusetts
(9/2/2010)
RR
Minnesota
(1/10/2011)
RR
Mississippi
(4/17/2025)
RR
Nebraska
(4/16/2025)
RR
New Jersey
(1/5/2024)
RR
New York
(8/2/2010)
RR
North Carolina
(9/16/2025)
RR
Ohio
(12/7/2010)
RR
Pennsylvania
(1/15/2013)
RR
Rhode Island
(1/6/2014)
RR
South Carolina
(1/4/2024)
RR
South Dakota
(4/2/2025)
RR
Texas
(1/7/2022)
RR
Wisconsin
(9/7/2011)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/26/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/28/2003
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

EF
EQUUS FINANCIAL CONSULTING LLC
BAY POINT ADVISORS, LLC | WEATHERVANE CAPITAL STRATEGIES LLC | LIBERTY LANE CAPITAL LLC | HAYSTACK CAPITAL PARTNERS, LLC | EQUUS FINANCIAL CONSULTING LLC | CROSSBAY CAPITAL PARTNERS LLC | BIG VENTURES

CRD#: 131449 / SEC#: , 8-66467

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
78 Pine St., Suite 101, New Canaan, CT 06840
Mailing Address
78 Pine St., Suite 101, New Canaan, CT 06840
Phone number
(203) 222-7400
Established
Delaware since 12/11/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EQUUS FINANCIAL LLCMEMBER
GLATTHORN, DARRYL JAMESMANAGING PARTNER, CCO, CFO, AMLCO1002270
GLATTHORN, JOCELYN KAEASSISTANT TO THE MANAGING PARTNER7288178
SINGER, STEVEN FREDERICFINOP2360737

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.

Company Information

EQUUS FINANCIAL CONSULTING LLC

CRD#: 131449New Canaan, CT 06840

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