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Joseph Vincent Graffeo
JOSEPH V GRAFFEO, JOSEPH VINCENT GRAFFEO
CRD#: 5362794
IA
B
MORGAN STANLEYCRD#: 149777 2000 WESTCHESTER AVENUE
PURCHASE, NY 10577-2530
PURCHASE, NY 10577-2530
0
Disclosures
13
Years of Experience
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State Registrations
B
New Jersey 11/15/2017
B
New York 11/15/2017
IA
New Jersey 11/15/2017
IA
New York 6/16/2021
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 11/15/2017
B
Registered with this firm since 11/15/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/22/2014 - 11/07/2017 | NEW YORK, NY | |
B | 05/22/2014 - 11/07/2017 | NEW YORK, NY | |
IA | 06/11/2013 - 05/13/2014 | NEW YORK, NY | |
B | 12/20/2012 - 05/13/2014 | NEW YORK, NY | |
B | 12/19/2011 - 12/19/2012 | NEW YORK, NY |
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B
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.
IA
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.