Colleen J. Juiliano

BA SECURITIES

W. Conshohocken, PA 19428

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CRD#: 4818898

Professional summary

Colleen Jane Juiliano, who also goes by Colleen Jane Corkery, is a registered financial professional currently at BA SECURITIES, LLC located in W. Conshohocken, Pennsylvania and COMCAP HOLDINGS LLC located in San Juan, .

Colleen is registered as a RR (Registered Representative) and started their career in finance in 2005. Colleen has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Colleen Jane Corkery

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 Colleen Jane Juiliano's 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

November 13, 2016 - Present

BA SECURITIES, LLC

Office #1: Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428

CRD#: 153489

W. Conshohocken, PA

Current

June 1, 2020 - Present

COMCAP HOLDINGS LLC

Office #1: 1666 Ave Ponce De Leon, San Juan, PR 00909

CRD#: 283514

SAN JUAN, PR

Current

November 18, 2022 - Present

AQ TECHNOLOGY PARTNERS LLC

Office #1: 203 Redwood Shores Parkway, Suite 530, Redwood City, CA 94065

CRD#: 304996

Redwood City, CA

Current

August 16, 2024 - Present

D & D SECURITIES, INC.

Office #1: 2929 Walnut Street 8th Floor, Philadelphia, PA 19104

CRD#: 31470

Philadelphia, PA

Past

April 3, 2023 - April 3, 2024

PEDERSON&CO LLC

CRD#: 308617

EDEN PRAIRIE, MN

Past

November 9, 2019 - October 21, 2021

LGA CAPITAL

CRD#: 282415

ROCKVILLE, MD

Past

August 20, 2019 - February 13, 2023

ASHLAND SECURITIES, LLC

CRD#: 297523

MIAMI, FL

Past

March 30, 2019 - September 27, 2019

CV BROKERAGE, INC

CRD#: 462

WILLIAMSTOWN, NJ

Past

January 14, 2005 - February 28, 2022

EMERGING GROWTH EQUITIES, LTD.

CRD#: 47040

KING OF PRUSSIA, PA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 3/30/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/14/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 1/13/2005

Financial and Operations Principal Examination

SRO Registrations

BOX Exchange LLC

SRO Registrations

FINRA

SRO Registrations

Nasdaq PHLX LLC

Current Firm

D & D SECURITIES, INC.

D & D SECURITIES, INC. | D AND D SECURITIES

CRD#: 31470 / SEC#: , 8-44989

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

2929 Walnut Street 8th Floor, Philadelphia, PA 19104

Mailing Address

703 North Jerome Avenue, Margate City, NJ 08402

Phone number

(609) 226-7672

Established

Pennsylvania since 02/19/1991

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
DICICCO, NICHOLAS GERALD	PRESIDENT	2321852
BUTLER, BRUCE JOSEPH	VICE PRESIDENT, ON-FLOOR SUPERVISORY PRINCIPAL	1568629
SCHEPPS, MARK H	VICE PRESIDENT, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER	2042034

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Colleen J. Juiliano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Colleen Jane Juiliano's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMCAP HOLDINGS LLC

AQ TECHNOLOGY PARTNERS LLC

D & D SECURITIES, INC.

PEDERSON&CO LLC

LGA CAPITAL

ASHLAND SECURITIES, LLC

CV BROKERAGE, INC

EMERGING GROWTH EQUITIES, LTD.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/30/2006

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/14/2006

Series 27

Date: 1/13/2005

BOX Exchange LLC

FINRA

Nasdaq PHLX LLC

Current Firm

D & D SECURITIES, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

D & D SECURITIES, INC.

TRUST BUT VERIFY

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