Joseph J. Quaglieri
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 Quaglieri, who also goes by Joe John Quaglieri, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2000. Joseph had worked at 4 firms and has passed the Series 21, Series 25 and Series 14A exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2012 - October 31, 2013
VIRTU AMERICAS LLC
January 5, 2011 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
April 1, 2002 - January 10, 2011
KELLOGG CAPITAL MARKETS, LLC
October 1, 2000 - April 1, 2002
KELLOGG CAPITAL GROUP LLC
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 21
Date: 1/13/2000
NYSE Front Line Specialist ClerkSeries 25
Date: 11/10/1999
NYSE Trading Assistant ExaminationSeries 14A
Date: 3/30/2005
Compliance Official Specialist ExamCurrent Firm
VIRTU AMERICAS LLC
CRD#: 149823 / SEC#: , 8-68193
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 57 |
| Civil Event | 1 |
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.
