Joseph N. Ferrara
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 Norman Ferrara, who also goes by Joseph N Ferrara, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2009. Joseph had worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2024 - July 8, 2026
FINALIS SECURITIES LLC
January 3, 2022 - October 31, 2022
FINALIS SECURITIES LLC
September 1, 2015 - January 6, 2022
ALPS DISTRIBUTORS, INC.
November 20, 2012 - August 31, 2015
QUASAR DISTRIBUTORS, LLC
October 16, 2012 - January 6, 2022
BRANDES INVESTMENT PARTNERS, LP
February 22, 2010 - October 3, 2012
MORGAN STANLEY
June 1, 2009 - October 3, 2012
MORGAN STANLEY
March 25, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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