Jocelyn Trapani
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.
Jocelyn Trapani, who also goes by Jocelyn Lanore Paglia, Jocelyn Lanore Trapani, Jocelyn Lanore Wagner, was a registered financial professional .
Jocelyn is a previously registered financial professional and started their career in finance in 2015. Jocelyn had worked at 4 firms and has passed the Series 66, 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
August 18, 2020 - June 24, 2021
NATIONAL SECURITIES CORPORATION
November 30, 2017 - December 31, 2018
MERCAP SECURITIES, LLC
June 12, 2017 - December 1, 2017
LPL FINANCIAL LLC
November 2, 2015 - June 19, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 10, 2015 - June 19, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
