Joseph F. Chiappetta
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 Frank Chiappetta was a registered financial advisor .
Joseph is a previously registered financial advisor and started their career in finance in 1977. Joseph had worked at 8 firms and has passed the Series 63 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
March 16, 2005 - August 23, 2005
COWEN SECURITIES LLC
December 15, 2003 - February 2, 2011
COASTAL ENERGY ADVISORS LLC
March 26, 2002 - August 19, 2003
OPPENHEIMER & CO. INC.
March 8, 2001 - November 2, 2001
RBC CAPITAL MARKETS, LLC
February 24, 2000 - March 30, 2001
RBC CAPITAL MARKETS CORPORATION
November 15, 1979 - August 30, 1999
JEFFERIES LLC
October 3, 1979 - December 5, 1979
CAPIS
July 1, 1977 - November 25, 1977
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
COWEN SECURITIES LLC
CRD#: 23510 / SEC#: , 8-40487
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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