Joshua D. Carapina
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.
Joshua Domagoi Carapina, who also goes by Josh Carapina, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2017. Joshua had worked at 3 firms and has passed the Series 66, Series 99TO, 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
October 5, 2022 - July 31, 2025
MUTUAL OF AMERICA SECURITIES LLC
March 4, 2020 - September 24, 2022
J.P. MORGAN SECURITIES LLC
March 4, 2020 - September 24, 2022
J.P. MORGAN SECURITIES LLC
January 3, 2018 - December 5, 2019
EDWARD JONES
December 7, 2017 - December 5, 2019
EDWARD JONES
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
Series 99TO
Date: 4/18/2023
Operations Professional ExaminationCurrent Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
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.
