Joseph Notaro
Professional summary
Joseph Notaro, who also goes by Joseph Notaro Jr, Joseph Notaro, is a registered financial professional currently at DAIWA CAPITAL MARKETS AMERICA INC. located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2004. Joseph has worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, Series 3, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Notaro's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 16, 2024 - Present
DAIWA CAPITAL MARKETS AMERICA INC.
Office #1: 1251 Avenue Of The Americas, New York, NY 10020January 18, 2022 - January 17, 2024
NATWEST MARKETS SECURITIES INC.
July 27, 2018 - January 11, 2022
CIBC WORLD MARKETS CORP.
February 25, 2010 - May 2, 2018
TD SECURITIES (USA) LLC
November 10, 2009 - February 11, 2010
NATWEST MARKETS SECURITIES INC.
August 26, 2009 - November 6, 2009
NATWEST MARKETS SECURITIES INC.
March 5, 2007 - May 20, 2008
CANTOR FITZGERALD & CO.
November 6, 2006 - February 26, 2007
WELLS FARGO CLEARING SERVICES, LLC
March 23, 2004 - February 26, 2007
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/1/2024)
(1/16/2024)
(6/4/2024)
(11/14/2024)
(1/16/2024)
(1/16/2024)
(1/16/2024)
(9/9/2024)
(1/16/2024)
(1/16/2024)
(9/9/2024)
(1/16/2024)
(1/16/2024)
(12/23/2024)
(1/16/2024)
(2/27/2024)
(1/16/2024)
(1/16/2024)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/3/2007
Limited Representative-Equity Trader ExamFINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
DAIWA CAPITAL MARKETS AMERICA INC.
CRD#: 1576 / SEC#: , 8-12242
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CAPITAL MARKETS AMERICA HOLDINGS INC. | SHAREHOLDER | |
| GREFE, JOHN HERBERT III | EXECUTIVE DIRECTOR - CHIEF COMPLIANCE OFFICER | 3275699 |
| MACHIDA, KEIJI | PRESIDENT / CEO & CHAIRMAN (BOARD OF DIRECTOR) | 7273228 |
| PARRY, GEORGE L | CFO / TREASURER | 3221390 |
| SAMBONGI, TOHRU | MANAGING DIRECTOR / CO-HEAD OF FIXED INCOME | 7302894 |
| UEJIMA, EIJI | MANAGING DIRECTOR / CO-HEAD OF EQUITY DIVISION | 8039040 |
| YAMAUCHI, MASAHIRO | DEPUTY PRESIDENT / MEMBER OF THE BOARD OF DIRECTORS | 7920876 |
Disclosures
| Regulatory Event | 30 |
Red Flags
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