Joseph Bernard Abruzzo
Professional Summary
Joseph Bernard Abruzzo is a registered financial advisor currently at ELEVATION, LLC located in Palm Beach Gardens, Florida. Joseph is registered as a RR (Registered Representative) and started their career in finance in 2008. Joseph has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
18 years in the financial services industry
Current & Past Employments
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Current Firm
ELEVATION SECURITIES | ELEVATION, LLC
Contact Information
Main Address
6836 Carnegie Boulevard Suite 240, Charlotte, NC 28211Mailing Address
6836 Carnegie Boulevard Suite 240, Charlotte, NC 28211Phone Number
(704) 926-1100Established
North Carolina since 12/27/2005Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SHEEHAN, PATRICK JAMES | MANAGING MEMBER | 2053134 |
| SARAH TRENT HARRIS IRREVOCABLE FAMILY TRUST | PASSIVE INVESTOR | — |
| BARTON ASSET MANAGEMENT, LLC | PASSIVE INVESTOR | — |
| CARTER III, WARREN SMOOT | PARTNER | 6751824 |
| HARRIS, MATTHEW CARTER | TRUSTEE | 6178227 |
| JACOBS, PATRICK BYRNE | REGISTERED OPTIONS PRINCIPAL | 7436966 |
| LUCAS, CLAIRE TOURNE | PASSIVE INVESTOR | — |
| LUCAS, HAINES DEMAREST | PASSIVE INVESTOR | — |
| LUCAS, JOSIAH CHARLES TRENT | TRUSTEE | 6178218 |
| MEUNIER, CHRISTOPHER JABOA | FINOP | 7407392 |
| PEAK6 INVESTMENTS, L.P. | PASSIVE INVESTOR | — |
| SHEEHAN, JOHN MICHAEL BYRNE | PARTNER, CEO | 2272269 |
| SILVER, SCOTT MICHAEL | CHIEF COMPLIANCE OFFICER - CCO | 2290261 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(9/26/2013)
(5/22/2013)
(9/26/2013)
(5/22/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Aug 2009SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Joseph Bernard Abruzzo's CRS (Customer Relationship Summary).
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