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JC

Joseph Costa

CODA MARKETS
Wilmette, IL 60091
Some features on this profile are disabled
CRD#: 5258043
JC

Professional summary

Joseph Costa is a registered financial professional currently at CODA MARKETS, INC. located in Wilmette, Illinois.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2011. Joseph has worked at 2 firms and has passed the Series 63, Series 99TO, SIE and Series 7 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) - BD

Click below to view Joseph Costa's 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

January 20, 2014 - Present

CODA MARKETS, INC.

Office #1: 1000 Skokie Blvd. Suite Ll33, Wilmette, IL 60091
BD
CRD#: 36187
Wilmette, IL
Past

June 30, 2011 - June 17, 2013

AX TRADING, LLC

BD
CRD#: 154702
STAMFORD, CT

State Registrations and Notice Filings

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

RR
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

RR
Connecticut
(1/28/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 7/27/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/29/2011
General Securities Representative Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CM
CODA MARKETS, INC.
CODA MARKETS, INC. | PDQ ATS, INC. | PB TRADE LTD | IMPERIAL INVESTMENTS LTD. | IMPERIAL INVESTMENTS LLC

CRD#: 36187 / SEC#: , 8-47077

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

Main Address
1000 Skokie Blvd. Suite Ll33, Wilmette, IL 60091
Mailing Address
Po Box 2326 2326, Glenvview, IL 60025
Phone number
(872) 205-0187
Established
Connecticut since 10/22/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ACS GLOBAL HOLDINGS, LLCSHAREHOLDER
DEROLF, MARK KENNETHCHIEF COMPLIANCE OFFICER1924355
LANG, TIMOTHY JUDECHIEF EXECUTIVE OFFICER1109356
MITCHELL, RYAN PATRICKSENIOR MANAGING DIRECTOR6468380
MURPHY, KRISTENFINANCIAL OPERATIONS PRINCIPAL2287252

Disclosures

Regulatory Event15

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

CODA MARKETS, INC.

CRD#: 36187Wilmette, IL 60091

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