Joseph P. Todaro
Professional summary
Joseph Paul Todaro was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial professional and started their career in finance in 2012. Prior to being barred, Joseph had worked at 8 firms, which includes NETWORK 1 FINANCIAL SECURITIES INC., SW FINANCIAL, WORDEN CAPITAL MANAGEMENT LLC, SPARTAN CAPITAL SECURITIES LLC, LAIDLAW & COMPANY (UK) LTD., CRAIG SCOTT CAPITAL LLC, ROCKWELL GLOBAL CAPITAL LLC, EKN FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2022 - November 10, 2022
NETWORK 1 FINANCIAL SECURITIES INC.
August 24, 2020 - December 23, 2021
SW FINANCIAL
March 5, 2018 - August 28, 2020
WORDEN CAPITAL MANAGEMENT LLC
July 21, 2016 - March 27, 2018
SPARTAN CAPITAL SECURITIES, LLC
April 27, 2015 - July 27, 2016
LAIDLAW & COMPANY (UK) LTD.
April 21, 2015 - April 27, 2015
CRAIG SCOTT CAPITAL, LLC
August 13, 2012 - April 27, 2015
ROCKWELL GLOBAL CAPITAL LLC
February 2, 2012 - August 14, 2012
EKN FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NETWORK 1 FINANCIAL SECURITIES INC.
CRD#: 13577 / SEC#: , 8-29471
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 21 |
| Arbitration | 4 |
Red Flags
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