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JA

Joseph A. Ambrosole

Some features on this profile are disabled
CRD#: 5732488
JA

Professional summary

Joseph A Ambrosole 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 2011. Prior to being barred, Joseph had worked at 6 firms, which includes JOSEPH STONE CAPITAL L.L.C., ALEXANDER CAPITAL L.P., WINDSOR STREET CAPITAL LP, GLOBAL ARENA CAPITAL CORP, LAIDLAW & COMPANY (UK) LTD., OBSIDIAN FINANCIAL GROUP LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph A Ambrosole | Joseph Albert Ambrosole

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

November 9, 2017 - June 29, 2021

JOSEPH STONE CAPITAL L.L.C.

BD
CRD#: 159744
NEW YORK, NY
Past

July 31, 2017 - November 6, 2017

ALEXANDER CAPITAL, L.P.

BD
CRD#: 40077
RED BANK, NJ
Past

August 5, 2015 - September 15, 2016

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
NEW YORK, NY
Past

April 22, 2015 - July 23, 2015

JOSEPH STONE CAPITAL L.L.C.

BD
CRD#: 159744
NEW YORK, NY
Past

March 12, 2013 - April 21, 2015

GLOBAL ARENA CAPITAL CORP

BD
CRD#: 16871
NEW YORK, NY
Past

August 16, 2012 - March 11, 2013

LAIDLAW & COMPANY (UK) LTD.

BD
CRD#: 119037
STAMFORD, CT
Past

September 14, 2011 - August 17, 2012

OBSIDIAN FINANCIAL GROUP, LLC

BD
CRD#: 104255
NEW YORK, 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
Series 63
Date: 10/24/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/13/2011
General Securities Representative Examination

Current Firm

JS
JOSEPH STONE CAPITAL L.L.C.
JOSEPH STONE CAPITAL L.L.C.

CRD#: 159744 / SEC#: , 8-69014

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

Main Address
585 Stewart Ave Suite L60c, Garden City, NY 11530
Mailing Address
585 Stewart Ave Suite L60c, Garden City, NY 11530
Phone number
(516) 267-7001
Established
Delaware since 11/04/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DPMM HOLDINGS L.L.C.HOLDING COMPANY
GRAZIANO, ANTHONY JOSEPHCCO2862096
MAGGIO, DAMIANCEO2864247
NIXON, JON ALANFINOP4710715

Disclosures

Regulatory Event5
Arbitration3

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

JOSEPH STONE CAPITAL L.L.C.

CRD#: 159744

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