Joseph J. Frascone
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 John Frascone, who also goes by Joseph John Franscone, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2019. Joseph had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2020 - November 8, 2021
JOSEPH STONE CAPITAL L.L.C.
February 11, 2020 - June 11, 2020
AEGIS CAPITAL CORP.
December 10, 2019 - December 19, 2019
SW FINANCIAL
October 31, 2019 - December 10, 2019
WORDEN CAPITAL MANAGEMENT LLC
October 7, 2019 - October 24, 2019
AEGIS CAPITAL CORP.
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
Series 7TO
Date: 7/6/2022
General Securities Representative ExaminationCurrent Firm
JOSEPH STONE CAPITAL L.L.C.
CRD#: 159744 / SEC#: , 8-69014
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
