Joseph V. Rizzi
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 Vito Rizzi JR, who also goes by Joseph VIto Rizzi, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2015. Joseph had worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2019 - November 8, 2019
BRAZOS SECURITIES, INC.
December 11, 2015 - February 16, 2018
RAYMOND JAMES & ASSOCIATES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
BRAZOS SECURITIES, INC.
CRD#: 21624 / SEC#: , 8-39119
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SIMS, BILLY FLOYD JR | PRESIDENT, SECRETARY ,SOLE SHAREHOLDER, FINOP, CCO AND GENERAL SECURITIES PRINCIPAL | 1548924 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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