Joseph M. Pignatano
Professional summary
Joseph Michael Pignatano, who also goes by Joseph Pignatano, Joe Pignatano, is a registered financial advisor currently at TRANSCEND CAPITAL ADVISORS, LLC located in Naples, Florida.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Joseph has worked at 3 firms and has passed the Series 66, SIE, Series 3, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Michael Pignatano's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 4, 2025 - Present
TRANSCEND CAPITAL ADVISORS, LLC
Office #1: 821 5th Avenue South, Naples, FL 34102March 2, 2018 - November 24, 2023
CHARLES SCHWAB & CO., INC.
March 1, 2018 - November 24, 2023
CHARLES SCHWAB & CO., INC.
September 24, 2011 - November 15, 2017
MORGAN STANLEY
May 13, 2011 - November 15, 2017
MORGAN STANLEY
Primary Firm SEC Registration
TRANSCEND CAPITAL ADVISORS, LLC
CRD#: 299723 / SEC#: 801-114435
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/4/2025)
Exams
Current Firm
TRANSCEND CAPITAL ADVISORS, LLC
CRD#: 299723 / SEC#: 801-114435
Contact information
SEC notice filing (30 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,003 |
| AUM (Assets Under Management) | $ 3,099,629,575 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/17/2025 | ||
| 01/26/2024 | ||
| 11/28/2022 |
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.
