Joseph Stillo

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CRD#: 714868

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 Stillo was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1980. Joseph had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 1, 2019 - April 7, 2020

MKM PARTNERS LLC

CRD#: 114666

NEW YORK, NY

Past

April 8, 2013 - May 9, 2019

LEERINK PARTNERS LLC

CRD#: 39011

NEW YORK, NY

Past

February 7, 2013 - February 20, 2013

LEERINK PARTNERS LLC

CRD#: 39011

NEW YORK, NY

Past

February 18, 2011 - April 17, 2013

STERNE, AGEE & LEACH, INC.

CRD#: 791

NEW YORK, NY

Past

March 23, 2009 - February 18, 2011

WJB CAPITAL GROUP, INC.

CRD#: 37334

NEW YORK, NY

Past

June 11, 2008 - January 21, 2009

PIPER SANDLER & CO.

CRD#: 665

NEW YORK, NY

Past

July 9, 2007 - June 12, 2008

LOUIS CAPITAL MARKETS, LLC

CRD#: 48013

PARIS,

Past

May 22, 2006 - March 21, 2007

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

May 2, 2000 - May 30, 2006

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

March 22, 1999 - May 12, 2000

SCHRODER & CO. INC.

CRD#: 6112

NEW YORK, NY

Past

July 29, 1996 - April 13, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

January 10, 1990 - August 15, 1996

SCHRODER & CO. INC.

CRD#: 6112

NEW YORK, NY

Past

May 24, 1985 - January 15, 1990

MABON, NUGENT & CO.

CRD#: 2617

Past

January 23, 1984 - March 25, 1985

MONTGOMERY SECURITIES

CRD#: 4357

Past

July 24, 1981 - January 30, 1984

MORGAN STANLEY & CO. LLC

CRD#: 8209

Past

September 16, 1980 - July 20, 1983

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

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

State Security Law Exam

Series 63

Date: 3/29/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/18/1981

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 9/5/1980

Registered Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/9/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/8/2004

General Securities Sales Supervisor - Options Module Examination

Current Firm

MKM PARTNERS LLC

AXE & CO. LLC | MKM PARTNERS LLC

CRD#: 114666 / SEC#: , 8-53436

Terminated by SEC on 04/24/2023

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Contact information

Main Address

Mailing Address

Phone number

Established

Connecticut since 11/30/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
ROTH CAPITAL PARTNERS, LLC	100% OWNER	15407
MESSINA, STEVEN LOUIS	CO-FOUNDER, CO-CHAIRMAN, CCO	1632057

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Joseph Stillo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LEERINK PARTNERS LLC

LEERINK PARTNERS LLC

STERNE, AGEE & LEACH, INC.

WJB CAPITAL GROUP, INC.

PIPER SANDLER & CO.

LOUIS CAPITAL MARKETS, LLC

COWEN AND COMPANY

J.P. MORGAN SECURITIES LLC

SCHRODER & CO. INC.

DB ALEX. BROWN LLC

SCHRODER & CO. INC.

MABON, NUGENT & CO.

MONTGOMERY SECURITIES

MORGAN STANLEY & CO. LLC

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/29/1984

SIE

Date: 10/1/2018

Series 7

Date: 7/18/1981

Series 1

Date: 9/5/1980

Series 10

Date: 12/9/2004

Series 9

Date: 7/8/2004

Current Firm

MKM PARTNERS LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MKM PARTNERS LLC

TRUST BUT VERIFY

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