Joseph M. Mastroianni
Professional summary
Joseph M Mastroianni, who also goes by Joseph Michael Mastroianni, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Albany, 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 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph M Mastroianni's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 14, 2021 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 80 State Street, Albany, NY 12207August 3, 2021 - August 27, 2021
ALLY INVEST SECURITIES LLC
January 19, 2015 - May 26, 2021
PURSHE KAPLAN STERLING INVESTMENTS
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/14/2021)
Exams
Series 52TO
Date: 12/7/2020
Municipal Securities Representative ExaminationFINRA
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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Company Information
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747Albany, NY 12207TRUST BUT VERIFY
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