Joseph Grimaldi
Professional summary
Joseph Grimaldi is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Saint James, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2014. Joseph has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Grimaldi's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 11, 2020 - Present
VANDERBILT SECURITIES, LLC
Office #1: 872 Middle Country Road, Suite 8, Saint James, NY 11780September 14, 2015 - May 11, 2020
REGULUS FINANCIAL GROUP, LLC
May 17, 2014 - September 22, 2015
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/15/2022)
(1/29/2021)
(5/20/2020)
(5/11/2020)
(5/11/2020)
Exams
FINRA
Current Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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