Joseph R. Orsini
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 Richard Orsini was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2016. Joseph had worked at 2 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2022 - November 1, 2023
EAGLEBROOK ADVISORS
February 27, 2017 - July 17, 2020
OPPENHEIMER & CO. INC.
August 29, 2016 - July 17, 2020
OPPENHEIMER & CO. INC.
Primary Firm SEC Registration
EAGLEBROOK ADVISORS
CRD#: 304438 / SEC#: 801-122813
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: 3/29/2024
General Securities Representative ExaminationCurrent Firm
EAGLEBROOK ADVISORS
CRD#: 304438 / SEC#: 801-122813
Contact information
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 991 |
| AUM (Assets Under Management) | $ 350,185,986 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 |
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.
