Joseph G. Green
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 Gerard Green was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2006. Joseph had worked at 7 firms and has passed the Series 63, Series 57TO, Series 3, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2025 - July 15, 2026
LPS CAPITAL LLC
September 18, 2019 - May 29, 2025
WALLACHBETH CAPITAL LLC
April 15, 2019 - September 9, 2019
MARKET SECURITIES, LLC
January 3, 2018 - April 1, 2019
OSCAR GRUSS & SON INCORPORATED
May 19, 2015 - December 20, 2017
BGC FINANCIAL, L.P.
September 4, 2012 - May 4, 2015
BAY CREST PARTNERS, LLC
May 8, 2006 - August 24, 2012
BARCLAYS CAPITAL 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: 8/7/2025
Securities Trader ExamCurrent Firm
LPS CAPITAL LLC
CRD#: 155246 / SEC#: , 8-68706
Contact information
FINRA licenses (28 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPS PARTNERS LLC | OWNER | |
| TARLETON, JOHN WILLIAM | PRESIDENT, CCO, FINOP | 1631047 |
Disclosures
| Regulatory Event | 1 |
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.
