Joseph P. Hickey
Professional summary
Joseph Patrick Hickey, who also goes by Joseph Patrick Hickey, Joseph Hickey, is a registered financial professional currently at BROKERTEC AMERICAS LLC 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 4 firms and has passed the Series 63, Series 57TO, Series 7TO, SIE, Series 3, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Patrick Hickey's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 31, 2023 - Present
BROKERTEC AMERICAS LLC
Office #1: 300 Vesey Street 7th Floor, New York, NY 10282July 31, 2019 - April 6, 2021
BROKERTEC AMERICAS LLC
February 20, 2009 - February 25, 2009
BANC OF AMERICA SECURITIES LLC
August 5, 2004 - October 16, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 6, 2004 - July 2, 2004
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, 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
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 11/16/2022
General Securities Representative ExaminationSeries 55
Date: 9/3/2004
Limited Representative-Equity Trader ExamFINRA
Current Firm
BROKERTEC AMERICAS LLC
CRD#: 47477 / SEC#: , 8-51803
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROKERTEC HOLDINGS INC. | 100% OWNERSHIP | |
| CALDERON, DAVID JASON | CHIEF FINANCIAL OFFICER | 4575354 |
| DENNIS, MICHAEL | DIRECTOR | 4192184 |
| HIRSCHMANN, ELISA M | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 5112554 |
| WAKEFIELD, JONATHAN BISHOP | CEO - CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1676639 |
| WEINMAN, ANDREW LEONARD | CHIEF OPERATIONS OFFICER AND DIRECTOR | 5209879 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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