• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
JOSEPH ANTHONY GALLUZZO
JOSEPH A GALLUZZO
CRD#: 841591
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 20 CUSTOM HOUSE STREET
BOSTON, MA 02110
Registration History
1980198519901995200020052010201520202025IASTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)2010 - Present (15 years)BSTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2006 - 2009 (3 years)BLEGG MASON WOOD WALKER, INCORP... (CRD# 6555)1997 - 2006 (8 years)BSMITH BARNEY INC. (CRD# 7059)1993 - 1997 (3 years)BLEHMAN BROTHERS INC. (CRD# 7506)1980 - 1993 (13 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1978 - 1980 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 572)1977 - 1978 (1 year)
Disclosure(s)
View By:
4/21/2009
Customer Dispute
Denied
6/18/1984
Regulatory
Final
11/1/1980
Customer Dispute
Settled
License(s)

State Registrations

B
California 4/9/2009

B
New Hampshire 4/9/2009

IA
California 2/5/2014

B
New York 4/9/2009

B
Connecticut 4/16/2019

B
North Carolina 4/30/2014

B
District of Columbia 4/9/2009

B
Texas 4/9/2009

B
Georgia 4/9/2009

B
Virginia 4/9/2009

B
Massachusetts 4/9/2009

SRO Registrations

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
20 CUSTOM HOUSE STREET, BOSTON, MA 02110
Registered with this firm since 1/13/2010

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
20 CUSTOM HOUSE STREET, BOSTON, MA 02110
Registered with this firm since 4/9/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
B
02/21/2006 - 04/23/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BOSTON, MA
B
04/17/1997 - 02/21/2006 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
B
07/31/1993 - 05/01/1997 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
07/24/1980 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
09/26/1978 - 08/24/1980 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
B
08/17/1977 - 09/26/1978 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. (CRD#:572)
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
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.