Joseph P. Loreto
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 P Loreto, who also goes by Joseph Paul Loreto, Joseph Loreto, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2007. Joseph had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 79, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2014 - July 17, 2019
MARKS BAUGHAN SECURITIES LLC
November 19, 2010 - October 9, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 19, 2010 - October 9, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 28, 2009 - October 11, 2010
MORGAN STANLEY
September 9, 2009 - October 11, 2010
MORGAN STANLEY
May 4, 2007 - February 6, 2009
STANFORD GROUP COMPANY
State Registrations and Notice Filings
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Exams
Current Firm
MARKS BAUGHAN SECURITIES LLC
CRD#: 132652 / SEC#: , 8-66615
Contact information
FINRA licenses (16 States and Territories)
Documents
Red Flags
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