Joseph C. Modafferi
Professional summary
Joseph Carlo Modafferi, who also goes by Joseph C Modafferi, is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2015. Joseph has worked at 2 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Carlo Modafferi's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 26, 2024 - Present
MAREX CAPITAL MARKETS INC.
Office #1: 140 East 45th Street 10th Floor, New York, NY 10017September 29, 2015 - October 27, 2021
TD SECURITIES (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 7/7/2022
General Securities Representative ExaminationSeries 79TO
Date: 7/7/2022
Investment Banking Registered Representative ExaminationCboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
Red Flags
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