Joseph Pagan

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CRD#: 6152661

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 Pagan, who also goes by Joseph J Pagan, Joseph Joel Pagan, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2013. Joseph had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joseph J Pagan | Joseph Joel Pagan

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

February 17, 2021 - December 24, 2021

JOSEPH STONE CAPITAL L.L.C.

CRD#: 159744

NEW YORK, NY

Past

August 19, 2020 - November 25, 2020

PAULSON INVESTMENT ADVISORS, LLC

RIA

CRD#: 304328

LAKE OSWEGO, OR

Past

August 5, 2020 - November 24, 2020

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

NEW YORK, NY

Past

March 20, 2020 - June 24, 2020

MILLENNIAL ADVISERS, LLC.

RIA

CRD#: 170847

NEW YORK, NY

Past

October 2, 2019 - December 31, 2019

MILLENNIAL ADVISERS, LLC.

RIA

CRD#: 170847

NEW YORK, NY

Past

September 9, 2019 - June 24, 2020

ALLIED MILLENNIAL PARTNERS, LLC

CRD#: 16569

NEW YORK, NY

Past

March 8, 2019 - September 3, 2019

WORDEN CAPITAL MANAGEMENT LLC

CRD#: 148366

New York, NY

Past

August 25, 2017 - February 16, 2018

CRAFT WEALTH MANAGEMENT LLC

RIA

CRD#: 170395

GARDEN CITY, NY

Past

June 21, 2017 - February 15, 2018

CRAFT CAPITAL MANAGEMENT LLC

CRD#: 171350

Garden City, NY

Past

August 21, 2013 - April 9, 2015

HSBC SECURITIES (USA) INC.

CRD#: 19585

JACKSON HEIGHTS, NY

Past

March 22, 2013 - August 14, 2013

EQUITABLE ADVISORS, LLC

CRD#: 6627

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

IAR

Series 65

Date: 8/16/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/3/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/21/2013

General Securities Representative Examination

Current Firm

JOSEPH STONE CAPITAL L.L.C.

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DPMM HOLDINGS L.L.C.	HOLDING COMPANY
GRAZIANO, ANTHONY JOSEPH	CCO	2862096
MAGGIO, DAMIAN	CEO	2864247
NIXON, JON ALAN	FINOP	4710715

Disclosures

Regulatory Event	5
Arbitration	3

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.

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Advisor Monitoring

Firm Stability Insights

Joseph Pagan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PAULSON INVESTMENT ADVISORS, LLC

PAULSON INVESTMENT COMPANY LLC

MILLENNIAL ADVISERS, LLC.

MILLENNIAL ADVISERS, LLC.

ALLIED MILLENNIAL PARTNERS, LLC

WORDEN CAPITAL MANAGEMENT LLC

CRAFT WEALTH MANAGEMENT LLC

CRAFT CAPITAL MANAGEMENT LLC

HSBC SECURITIES (USA) INC.

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/16/2017

Series 63

Date: 7/3/2017

SIE

Date: 2/15/2018

Series 7

Date: 3/21/2013

Current Firm

JOSEPH STONE CAPITAL L.L.C.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

JOSEPH STONE CAPITAL L.L.C.

TRUST BUT VERIFY

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