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JR

Joseph F. Rossetti

CRD#: 5324812
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JR
Joseph F Rossetti

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 F Rossetti was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2012. Joseph had worked at 9 firms and has passed the Series 66, Series 63, Series 79TO, SIE and Series 7 exams.

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

July 1, 2025 - June 30, 2026

HCC SECURITIES GROUP, INC

BD
CRD#: 16861
JENKINTOWN, PA
Past

February 4, 2025 - July 9, 2025

ICON CAPITAL GROUP, LLC

BD
CRD#: 4029
NEWPORT BEACH, CA
Past

August 9, 2021 - December 10, 2024

SPARTAN CAPITAL SECURITIES, LLC

BD
CRD#: 146251
NEW YORK, NY
Past

October 19, 2020 - July 15, 2021

D. BORAL CAPITAL

BD
CRD#: 103792
New York, NY
Past

July 13, 2020 - October 19, 2020

I-BANKERS DIRECT, LLC

BD
CRD#: 167533
BOCA RATON, FL
Past

March 2, 2018 - December 31, 2019

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
NEW YORK, NY
Past

March 25, 2017 - February 27, 2018

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
NEW YORK, NY
Past

March 25, 2017 - July 9, 2020

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
NEW YORK, NY
Past

August 28, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
NEWTOWN SQUARE, PA
Past

July 9, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
NEWTOWN SQUARE, PA
Past

April 19, 2013 - June 1, 2015

AEGIS CAPITAL CORP.

BD
CRD#: 15007
HOLMDEL, NJ
Past

November 5, 2012 - April 9, 2013

CHARLES VISTA LLC

BD
CRD#: 132650
STATEN ISLAND, NY

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: 8/21/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/9/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/5/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/2/2012
General Securities Representative Examination

Current Firm

HS
HCC SECURITIES GROUP, INC
HCC SECURITIES GROUP, INC | PARK CITY CAPITAL, INC.

CRD#: 16861 / SEC#: , 8-34645

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

Main Address
261 Old York Rd # 823a, Jenkintown (montgomery), PA 19046
Mailing Address
261 Old York Rd #823 A, Jenkintown (montgomery), PA 19046
Phone number
(215) 517-5700
Established
Delaware since 02/08/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SEGAL, STEVEN ALANPRESIDENT418012
SEGAL, STEVEN ALANCEO, CHIEF COMPLIANCE OFFICER418012
AVANTI & ROSE INTL, LLCDIRECT OWNER
HCC RICH CAPITAL HOLDINGS, LTDSHARE HOLDER

Disclosures

Regulatory Event2

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

HCC SECURITIES GROUP, INC

CRD#: 16861

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