Joseph R. Maresca
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 Robert Maresca, who also goes by Joe Maresca, Joseph R Maresca, Joseph R. Maresca, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2005. Joseph had worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2013 - March 4, 2016
HRC FUND ASSOCIATES, LLC
April 27, 2009 - September 4, 2013
IC ADVISORY SERVICES, INC.
April 27, 2009 - September 4, 2013
THE INVESTMENT CENTER, INC.
April 30, 2007 - April 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 30, 2007 - April 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 31, 2006 - April 2, 2007
PERSHING LLC
February 16, 2006 - March 24, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 4, 2005 - March 24, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
HRC FUND ASSOCIATES, LLC
CRD#: 142846 / SEC#: , 8-67496
Contact information
FINRA licenses (42 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, SCOTT DAVID | MEMBER; FINOP, CFO | 1912249 |
| FONTANA, VICTOR J JR. | CONTROLLER | 6054744 |
| FONTANA, VICTOR JOSEPH | MEMBER, PRESIDENT, COO | 1240936 |
| HILL, RAYMOND ALEXANDER III | MEMBER | 1950094 |
| REICK, TIMOTHY WILLIAM | CEO, MEMBER | 4384534 |
| THE DANIELS GST TRUST | MEMBER | |
| THE FONTANA GST TRUST | MEMBER | |
| THE RAYMOND HILL GST TRUST | MEMBER | |
| DANIELS, SCOTT DAVID | TRUSTEE - THE FONTANA GST TRUST | 1912249 |
| DANIELS, SCOTT DAVID | TRUSTEE - THE RAYMOND HILL GST TRUST | 1912249 |
| DANIELS, TERI ANN | TRUSTEE - THE DANIELS GST TRUST | 6154120 |
| FONTANA, CHRISTINE LYNN | TRUSTEE - THE FONTANA GST TRUST | 6153900 |
| FONTANA, VICTOR JOSEPH | TRUSTEE - THE DANIELS GST TRUST | 1240936 |
| NOWACK, ANDREW PETER | CCO, GENERAL COUNSEL | 2488500 |
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.
