Joseph Falconi
Professional summary
Joseph Falconi, who also goes by Joseph Eugene Falconi, is a registered financial professional currently at GOLDMAN SACHS CUSTODY SOLUTIONS located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2012. Joseph has worked at 4 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Falconi's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 19, 2021 - Present
GOLDMAN SACHS CUSTODY SOLUTIONS
Office #1: 200 West Street, New York, NY 10282April 23, 2021 - November 12, 2021
BARCLAYS CAPITAL INC.
August 28, 2019 - March 29, 2021
PERSHING ADVISOR SOLUTIONS LLC
May 10, 2012 - August 29, 2019
PERSHING LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
GOLDMAN SACHS CUSTODY SOLUTIONS
CRD#: 48015 / SEC#: , 8-52009
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOLIO FINANCIAL, INC. (D/B/A GOLDMAN SACHS CS HOLDINGS) | 100 % SHAREHOLDER | |
| CHOKSI, ANISH PAREN | CHIEF COMPLIANCE OFFICER | 6506840 |
| EISENSTEIN, JEREMY S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 4972748 |
| FYFFE, JAMES COMPEAU | CHIEF FINANCIAL OFFICER, FINOP & PFO | 2619159 |
| GERAGHTY, PETER RICHARD | GENERAL COUNSEL | 4930752 |
| GREEFF, BRIAN MICHAEL | COO & POO | 4273392 |
| SIEGLER, ADAM JAMES | MANAGING DIRECTOR | 5112351 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
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