Joseph J. Troiano
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 James Troiano, who also goes by Joe Troiano, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1981. Joseph had worked at 22 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 1993 - January 3, 1994
FIRST MONTAUK SECURITIES CORP.
April 15, 1993 - December 14, 1993
M. RIMSON & CO., INC.
April 23, 1992 - April 23, 1993
CORTLANDT CAPITAL CORPORATION
January 2, 1992 - May 4, 1992
HANOVER, STERLING & COMPANY LTD.
July 31, 1991 - December 22, 1993
CASTLE SECURITIES CORP.
June 6, 1991 - August 6, 1991
FIRST CHOICE SECURITIES CORP.
September 11, 1990 - December 7, 1990
MALONE & ASSOCIATES, INC.
November 15, 1989 - October 19, 1990
FIRST FIDELITY CAPITAL CORP.
August 9, 1989 - October 28, 1989
SOUTH RICHMOND SECURITIES, INC.
March 28, 1989 - July 20, 1989
J. T. MORAN & CO., INC.
February 2, 1989 - August 26, 1989
J F LOWE & COMPANY INCORPORATED
December 20, 1988 - February 24, 1989
BAILEY, MARTIN & APPEL, INC.
November 16, 1988 - December 13, 1988
J. W. GANT & ASSOCIATES, INC.
October 4, 1988 - November 26, 1988
EQUITIES INTERNATIONAL SECURITIES, INC.
October 7, 1985 - May 25, 1989
MIKAL & COMPANY, INC.
September 10, 1985 - September 20, 1985
M. RIMSON & CO., INC.
February 21, 1985 - January 28, 1986
WEAVER JOHNSON & COMPANY,INC.
February 1, 1985 - June 12, 1985
CITIWIDE SECURITIES CORP.
November 28, 1984 - January 14, 1986
BUCKINGHAM SECURITIES, LTD.
February 25, 1984 - November 30, 1984
KANAN SECURITIES, INC.
September 29, 1983 - February 2, 1984
SOUTHEAST SECURITIES OF FLORIDA, INC.
November 25, 1981 - October 4, 1983
BLINDER, ROBINSON & CO., INC.
May 18, 1981 - November 5, 1981
BROOKS, HAMBURGER, SATNICK, INC.
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
Current Firm
FIRST MONTAUK SECURITIES CORP.
CRD#: 13755 / SEC#: , 8-29748
Contact information
Documents
Disclosures
| Regulatory Event | 25 |
| Arbitration | 28 |
| Bond | 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.
