JS
Joshua A. Shipley
DOMINARI SECURITIES LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 6631027
JS
Professional summary
Joshua Anthony Shipley is a registered financial advisor currently at DOMINARI SECURITIES LLC located in New York, New York.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Joshua has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) Importing Exporting LLC; Investment Related; 154 Clinton Rd New Hartford NY 1341; Personal Investment Entity; COO; 2024; 1 hr/mo; zero hours during trading; This entity will be used for private placements and listed securities. I am the sole owner and Beneficiary.
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Anthony Shipley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joshua Anthony Shipley'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®
NoneExperience
Current
April 13, 2023 - Present
DOMINARI SECURITIES LLC
Office #1: 725 Fifth Ave. 23rd Fl., New York, NY, 10022RIA
BD
CRD#: 18975
New York, NY
Current
April 13, 2023 - Present
DOMINARI SECURITIES LLC
Office #1: 725 Fifth Avenue 23rd Fl., New York, NY, 10022RIA
BD
CRD#: 18975
New York, NY
Past
January 20, 2021 - April 12, 2023
REVERE SECURITIES LLC
BD
CRD#: 14178
NEW YORK, NY
Past
November 20, 2017 - January 21, 2021
MORGAN STANLEY
RIA
CRD#: 149777
NEW YORK, NY
Past
October 27, 2017 - January 21, 2021
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DS
DOMINARI SECURITIES LLC
DOMINARI SECURITIES LLC | SPECTRUM FINANCIAL STRATEGIES, INC. | NUTMEG SECURITIES, LTD. | NUTMEG SECURITIES, LLC | METRO PENSION ANALYSTS, LTD. | FUTURES BENEFITS | FREEDOM FINANCIAL SERVICES, INC | FIELDPOINT PRIVATE SECURITIES, LLC | FIELDPOINT PRIVATE SECURITIES LLC | E-BENEFITS
CRD#: 18975 / SEC#: 801-78295, 8-37105
RIA
Registered Investment Advisory firm - SEC (7/31/2013 Approved)Arizona
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)California
Registered Investment Advisory firm - SEC (9/22/2013 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/23/2013 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/27/2013 Terminated)Delaware
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Florida
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/26/2013 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/28/2013 Terminated)Maryland
Registered Investment Advisory firm - SEC (1/22/2013 Terminated)Michigan
Registered Investment Advisory firm - SEC (9/9/2013 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/17/2013 Terminated)New Jersey
Registered Investment Advisory firm - SEC (11/4/2013 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)New York
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)South Dakota
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Texas
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/13/2023)
RR
Alaska(4/13/2023)
RR
Arizona(4/13/2023)
IAR
Arizona(5/15/2023)
RR
Arkansas(4/13/2023)
IAR
Arkansas(5/8/2023)
RR
California(4/13/2023)
IAR
California(4/18/2023)
RR
Colorado(4/13/2023)
IAR
Colorado(5/8/2023)
RR
Connecticut(4/13/2023)
IAR
Connecticut(5/1/2023)
RR
Delaware(4/13/2023)
IAR
Delaware(5/8/2023)
RR
District of Columbia(4/13/2023)
RR
Florida(4/13/2023)
IAR
Florida(5/9/2023)
RR
Georgia(4/13/2023)
IAR
Georgia(5/10/2023)
RR
Hawaii(4/13/2023)
RR
Idaho(4/13/2023)
IAR
Idaho(4/23/2024)
RR
Illinois(4/13/2023)
IAR
Illinois(5/8/2023)
RR
Indiana(4/13/2023)
IAR
Indiana(5/8/2023)
RR
Iowa(4/13/2023)
RR
Kansas(4/13/2023)
RR
Kentucky(4/13/2023)
RR
Louisiana(4/13/2023)
IAR
Louisiana(5/8/2023)
RR
Maine(4/13/2023)
IAR
Maine(4/13/2023)
RR
Maryland(4/13/2023)
IAR
Maryland(5/8/2023)
RR
Massachusetts(4/13/2023)
IAR
Massachusetts(7/26/2023)
RR
Michigan(4/13/2023)
IAR
Michigan(5/8/2023)
RR
Minnesota(4/13/2023)
IAR
Minnesota(5/8/2023)
RR
Mississippi(4/13/2023)
RR
Missouri(4/13/2023)
IAR
Missouri(5/8/2023)
RR
Montana(4/13/2023)
IAR
Montana(5/19/2023)
RR
Nebraska(4/13/2023)
IAR
Nebraska(5/8/2023)
RR
Nevada(4/13/2023)
RR
New Hampshire(4/13/2023)
IAR
New Hampshire(5/8/2023)
RR
New Jersey(4/13/2023)
IAR
New Jersey(5/15/2023)
RR
New Mexico(4/13/2023)
IAR
New Mexico(5/16/2023)
RR
New York(4/13/2023)
IAR
New York(5/15/2023)
RR
North Carolina(4/13/2023)
IAR
North Carolina(5/15/2023)
RR
North Dakota(4/13/2023)
IAR
North Dakota(5/22/2023)
RR
Ohio(4/22/2023)
IAR
Ohio(5/15/2023)
RR
Oklahoma(4/13/2023)
RR
Oregon(4/13/2023)
IAR
Oregon(5/15/2023)
RR
Pennsylvania(4/13/2023)
IAR
Pennsylvania(5/15/2023)
RR
Rhode Island(4/13/2023)
IAR
Rhode Island(5/15/2023)
RR
South Carolina(4/13/2023)
IAR
South Carolina(5/15/2023)
RR
South Dakota(4/13/2023)
IAR
South Dakota(5/16/2023)
RR
Tennessee(4/14/2023)
RR
Texas(4/13/2023)
IAR
Texas(5/15/2023)
RR
Utah(4/13/2023)
IAR
Utah(5/16/2023)
RR
Vermont(4/13/2023)
IAR
Vermont(5/16/2023)
RR
Virginia(4/13/2023)
IAR
Virginia(5/15/2023)
RR
Washington(4/13/2023)
IAR
Washington(5/15/2023)
RR
West Virginia(4/13/2023)
RR
Wisconsin(4/13/2023)
IAR
Wisconsin(5/15/2023)
RR
Wyoming(4/13/2023)
IAR
Wyoming(5/15/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DS
DOMINARI SECURITIES LLC
DOMINARI SECURITIES LLC | SPECTRUM FINANCIAL STRATEGIES, INC. | NUTMEG SECURITIES, LTD. | NUTMEG SECURITIES, LLC | METRO PENSION ANALYSTS, LTD. | FUTURES BENEFITS | FREEDOM FINANCIAL SERVICES, INC | FIELDPOINT PRIVATE SECURITIES, LLC | FIELDPOINT PRIVATE SECURITIES LLC | E-BENEFITS
CRD#: 18975 / SEC#: 801-78295, 8-37105
RIA
Registered Investment Advisory firm - SEC (7/31/2013 Approved)Arizona
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)California
Registered Investment Advisory firm - SEC (9/22/2013 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/23/2013 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/27/2013 Terminated)Delaware
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Florida
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/26/2013 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/28/2013 Terminated)Maryland
Registered Investment Advisory firm - SEC (1/22/2013 Terminated)Michigan
Registered Investment Advisory firm - SEC (9/9/2013 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/17/2013 Terminated)New Jersey
Registered Investment Advisory firm - SEC (11/4/2013 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)New York
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)South Dakota
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)Texas
Registered Investment Advisory firm - SEC (8/22/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
725 Fifth Avenue 23rd Fl., New York, NY, 10022
Mailing Address
725 Fifth Avenue 23rd Fl., New York, NY, 10022
Phone number
(212) 393-4500
Established
Delaware since 04/05/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
11
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOMINARI FINANCIAL, INC. | OWNER | |
| CAMPBELL, ROBERT NMN | FINOP | 1349154 |
| DEIGNAN, EDWARD PHILIP JR | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 4597976 |
| MERCADO, JAIME | CHIEF COMPLIANCE OFFICER, AMLCO | 2863760 |
| NEWMAN, ERIC | EVP/ROP | 2509259 |
| WILLIAMS, JOHN MARSHALL | COMPLIANCE OFFICER | 2833948 |
| WOOL, KYLE MICHAEL | CEO/ PRESIDENT | 4238101 |
Regulatory assets under management
| Total Number of Accounts | 235 |
| AUM (Assets Under Management) | $ 41,647,787 |
Disclosures
| Regulatory Event | 5 |
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.
