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JN

Joseph C. Nappi

PHOENIX IB
Boston, MA 02110
Some features on this profile are disabled
CRD#: 6529652
JN

Professional summary

Joseph C Nappi is a registered financial professional currently at PHOENIX IB located in Boston, Massachusetts.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2015. Joseph has worked at 1 firm and has passed the SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Joseph C Nappi's CRS (Customer Relationship Summary).

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

Current

November 6, 2015 - Present

PHOENIX IB

Office #1: 75 Federal Street Suite 1700, Boston, MA 02110
BD
CRD#: 132710
Boston, MA

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 11/6/2015
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PI
PHOENIX IB
OCEAN TOMO INVESTMENTS | PM SECURITIES, LLC DBA PHOENIX CAPITAL RESOURCES | PM SECURITIES, LLC | PHOENIX IB | PHOENIX CAPITAL RESOURCES

CRD#: 132710 / SEC#: , 8-66628

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
110 Commons Court, Chadds Ford, PA 19317
Mailing Address
110 Commons Court, Chadds Ford, PA 19317
Phone number
(610) 358-4700
Established
Delaware since 07/07/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PHOENIX CAPITAL RESOURCES, LLCMEMBER
KARBINER, MARK ALANPRESIDENT4233458
SPINDEL, HOWARDCCO708042
SUTTERS, MICHAEL KEITHFINANCIAL OPERATIONS PRINCIPAL6972896

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.

Company Information

PHOENIX IB

CRD#: 132710Boston, MA 02110

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