Joseph C. Scarpelli

FORESIDE FUND SERVICES

New York, NY 10038

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CRD#: 5072325

Professional summary

Joseph Carl Scarpelli is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2006. Joseph has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Joseph Carl Scarpelli's CRS (Customer Relationship Summary).

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

December 6, 2024 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 222 Broadway 27th Fl, New York, NY 10038

CRD#: 46106

New York, NY

Past

May 31, 2023 - January 18, 2024

SECURITIZE MARKETS, LLC

CRD#: 283256

New York, NY

Past

March 10, 2022 - December 14, 2022

FORESIDE FUND SERVICES, LLC

CRD#: 46106

New York, NY

Past

February 21, 2017 - March 30, 2020

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

New York, NY

Past

April 26, 2016 - February 14, 2017

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

PRINCETON, NJ

Past

September 25, 2012 - February 14, 2017

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

PRINCETON, NJ

Past

September 14, 2010 - May 9, 2012

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

December 10, 2008 - March 26, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

NEW YORK, NY

Past

September 29, 2008 - March 26, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

NEW YORK, NY

Past

June 15, 2006 - September 17, 2008

COLUMBUS ADVISORY GROUP, LTD.

CRD#: 126331

NEW YORK, NY

Past

March 22, 2006 - July 12, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(1/3/2025)

Alaska
(1/3/2025)

Arizona
(1/3/2025)

Arkansas
(1/3/2025)

California
(1/3/2025)

Colorado
(1/3/2025)

Connecticut
(1/3/2025)

Delaware
(1/3/2025)

District of Columbia
(1/3/2025)

Florida
(1/3/2025)

Georgia
(1/3/2025)

Hawaii
(1/3/2025)

Idaho
(1/3/2025)

Illinois
(1/3/2025)

Indiana
(1/3/2025)

Iowa
(1/3/2025)

Kansas
(1/3/2025)

Kentucky
(1/3/2025)

Louisiana
(1/3/2025)

Maine
(1/3/2025)

Maryland
(1/3/2025)

Massachusetts
(1/3/2025)

Michigan
(1/3/2025)

Minnesota
(1/3/2025)

Mississippi
(1/3/2025)

Missouri
(1/3/2025)

Montana
(1/6/2025)

Nebraska
(1/3/2025)

Nevada
(1/3/2025)

New Hampshire
(1/3/2025)

New Jersey
(1/3/2025)

New Mexico
(1/3/2025)

New York
(12/6/2024)

North Carolina
(1/3/2025)

North Dakota
(1/3/2025)

Ohio
(1/7/2025)

Oklahoma
(1/3/2025)

Oregon
(1/3/2025)

Pennsylvania
(1/3/2025)

Rhode Island
(1/3/2025)

South Carolina
(1/3/2025)

South Dakota
(1/3/2025)

Tennessee
(1/3/2025)

Texas
(1/3/2025)

Utah
(1/3/2025)

Vermont
(1/3/2025)

Virginia
(1/3/2025)

Washington
(1/3/2025)

West Virginia
(1/3/2025)

Wisconsin
(1/3/2025)

Wyoming
(1/3/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 4/25/2016

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/9/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/21/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/20/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/6/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

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

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Contact information

Main Address

190 Middle Street Suite 301, Portland, ME 04101

Mailing Address

190 Middle Street Suite 301, Portland, ME 04101

Phone number

(207) 553-7110

Established

Delaware since 09/08/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FORESIDE DISTRIBUTORS, LLC	SOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKI	PRES/MANAGER/DIRECTOR	1544189
EDELMAN, GABRIEL	SECRETARY	6654419
LA FOND, SUSAN LORENE	TREASURER	4512785
LANZA, CHRISTOPHER CONTE	VICE PRESIDENT	2184856
MACCHIA, KATE SCHENDEL	VICE PRESIDENT	4863973
SOMMERS, WESTON	CFO/FINOP	5290145
STROUT, ALICIA KIMBERLY	CHIEF COMPLIANCE OFFICER/VICE PRESIDENT	6320351

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

Joseph C. Scarpelli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Carl Scarpelli's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIZE MARKETS, LLC

FORESIDE FUND SERVICES, LLC

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

COLUMBUS ADVISORY GROUP, LTD.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/25/2016

Series 65

Date: 12/9/2008

Series 63

Date: 6/21/2006

SIE

Date: 10/1/2018

Series 7

Date: 3/20/2006

Series 24

Date: 1/6/2014

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FORESIDE FUND SERVICES, LLC

TRUST BUT VERIFY

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