Joseph J. Palma
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 John Palma was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1975. Joseph had worked at 6 firms and has passed the Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2001 - May 15, 2002
KNIGHT CAPITAL AMERICAS, L.P.
April 9, 1999 - December 12, 2000
JPMSI
January 31, 1980 - January 30, 1998
UBS FINANCIAL SERVICES INC.
September 12, 1978 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
July 29, 1977 - September 8, 1978
TROSTER SINGER CORPORATION
December 26, 1975 - February 13, 1978
SINGER SECURITIES
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 55
Date: 1/10/2000
Limited Representative-Equity Trader ExamCurrent Firm
KNIGHT CAPITAL AMERICAS, L.P.
CRD#: 38599 / SEC#: , 8-48311
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KNIGHT CAPITAL HOLDINGS LLC | LIMITED PARTNER | |
| CORRAO, MICHAEL TIMOTHY | CO-CCO | 1841775 |
| DONOHUE, KEVIN M | CO-CCO | 2767061 |
| DUNHAM, TIMOTHY PHILIP | FINANCIAL OPERATIONS PRINCIPAL | 1016294 |
| KNIGHT SECURITIES GENERAL LLC | LLC- GENERAL PARTNER | |
| LYONS, ROBERT KEANE | SENIOR MANAGING DIRECTOR | 1760001 |
| MAZZELLA, JOSEPH CARMINE JR | CEO | 1969966 |
| SADOFF, STEVEN JAY | EXECUTIVE VICE PRESIDENT | 4350038 |
| SOHOS, GEORGE | SENIOR MANAGING DIRECTOR | 4198973 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 2 |
Red Flags
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