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JOSEPH ANTHONY DAMBROSIO
JOSEPH DAMBROSIO
CRD#: 1315175
IA
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STONEX ADVISORS INC.CRD#: 174182 2 PERIMETER PARK SOUTH
SUITE 500 WEST
BIRMINGHAM, AL 35243
SUITE 500 WEST
BIRMINGHAM, AL 35243
STONEX SECURITIES INC.CRD#: 18456 Ridgefield, CT
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Disclosures
36
Years of Experience
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State Registrations
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Connecticut 12/6/2019
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Connecticut 5/11/2021
SRO Registrations
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Registered with this firm since 12/6/2019
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/31/2017 - 12/06/2019 | RIDGEFIELD, CT | |
B | 06/01/2017 - 12/06/2019 | LAGUNA HILLS, CA | |
IA | 06/19/2015 - 11/11/2016 | STAMFORD, CT | |
B | 04/29/2015 - 11/11/2016 | STAMFORD, CT | |
B | 07/28/1995 - 05/15/2015 | LAGUNA HILLS, CA | |
B | 03/28/1991 - 08/02/1993 | ||
B | 09/19/1986 - 04/12/1991 | SYOSSET, NY | |
B | 12/24/1985 - 01/25/1988 | LEVITTOWN, NY |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.