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JI

Joseph D. Intagliata

LUMENT SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 6914241
JI

Professional summary

Joseph Donald Intagliata is a registered financial professional currently at LUMENT SECURITIES, LLC located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2022. Joseph has worked at 1 firm and has passed the Series 7TO, Series 82TO, SIE and Series 24 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 Donald Intagliata's CRS (Customer Relationship Summary).
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

April 7, 2022 - Present

LUMENT SECURITIES, LLC

Office #1: 280 Park Avenue 40 West, New York, NY 10017
BD
CRD#: 14840
New York, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Florida
(7/27/2023)

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 5/28/2025
General Securities Representative Examination
General Industry/Product Exam
RR
Series 82TO
Date: 4/7/2022
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 2/24/2022
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/5/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LUMENT SECURITIES, LLC
LUMENT SECURITIES | RED CAPITAL MARKETS, LLC | RED CAPITAL MARKETS, INC. | PROVIDENT SECURITIES & INVESTMENT COMPANY | OREC SECURITIES, LLC | LUMENT SECURITIES, LLC

CRD#: 14840 / SEC#: , 8-31175

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

Main Address
10 West Broad Street 8th Floor, Columbus, OH 43215
Mailing Address
10 West Broad Street 8th Floor, Columbus, OH 43215
Phone number
(614) 857-1600
Established
Delaware since 05/06/2010
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LUMENT REAL ESTATE CAPITAL HOLDINGS, LLCSHAREHOLDER
CROFT, JAMES FRANCISCHAIRMAN, BOARD OF MANAGERS2148025
KIRKWOOD, ROBERT THOMASCHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS6025468
MAINELLI, KEVIN JOSEPHMANAGING DIRECTOR - CHIEF COMPLIANCE OFFICER1751991
SMITH, MARY AGNESCHIEF FINANCIAL OFFICER AND FINOP2498307

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

LUMENT SECURITIES, LLC

CRD#: 14840New York, NY 10017

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