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JL

Joseph J. Lopresti

Some features on this profile are disabled
CRD#: 5160788
JL

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 John Lopresti was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2006. Joseph had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 6 and Series 30 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 12, 2025 - July 17, 2025

NASDAQ CAPITAL MARKETS ADVISORY LLC

BD
CRD#: 104295
NEW YORK, NY
Past

December 7, 2023 - September 27, 2024

NEXPOINT SECURITIES, INC.

BD
CRD#: 165013
DALLAS, TX
Past

September 30, 2022 - July 7, 2023

PARALEL DISTRIBUTORS

BD
CRD#: 316115
New York, NY
Past

January 17, 2019 - September 30, 2022

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
NEW YORK CITY, NY
Past

October 13, 2016 - December 26, 2018

PRINCIPAL ASSET MANAGEMENT

RIA
CRD#: 109002
Tuckahoe, NY
Past

October 3, 2016 - December 26, 2018

PRINCIPAL FUNDS DISTRIBUTOR, INC.

BD
CRD#: 43261
DES MOINES, IA
Past

October 10, 2013 - September 9, 2016

HSBC SECURITIES (USA) INC.

RIA
CRD#: 19585
New York, NY
Past

October 9, 2013 - September 9, 2016

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
New York, NY
Past

January 17, 2012 - September 24, 2013

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
NEW YORK, NY
Past

September 27, 2011 - September 24, 2013

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

December 23, 2009 - March 18, 2010

DAVID LERNER ASSOCIATES, INC.

BD
CRD#: 5397
WHITE PLAINS, NY
Past

July 3, 2006 - October 26, 2009

EQUITABLE DISTRIBUTORS, LLC

BD
CRD#: 25900
CHARLOTTE, NC

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
RR
IAR
Series 66
Date: 1/13/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/21/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 1/31/2017
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/22/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/30/2006
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 1/31/2017
NFA Branch Manager Examination

Current Firm

NC
NASDAQ CAPITAL MARKETS ADVISORY LLC
ISLAND EXECUTION SERVICES, LLC | OUTBOUND SECURITIES, LLC | NASDAQ OPTIONS SERVICES, LLC | NASDAQ CAPITAL MARKETS ADVISORY LLC

CRD#: 104295 / SEC#: , 8-52750

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
151 West 42nd Street, New York, NY 10036
Mailing Address
151 West 42nd Street, New York, NY 10036
Phone number
(212) 401-8700
Established
Delaware since 02/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NASDAQ CORPORATE SOLUTIONS, LLCSOLE MEMBER
CRANE, LINDAPRINCIPAL FINANCIAL OFFICER/ PRINCIPAL OPERATIONS OFFICER4374198
HINTON-MILLER, BRENDACHIEF COMPLIANCE OFFICER3208241
WASSERMAN, SEAN ELLIOTCO CHIEF EXECUTIVE OFFICER7303324

Disclosures

Regulatory Event4

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.

Company Information

NASDAQ CAPITAL MARKETS ADVISORY LLC

CRD#: 104295

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