Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Mendola is a financial advisor who has been in the industry since February 26, 2000. Joseph is currently registered with The Klein Group, LLC. Joseph has a Series 65, Series 63, and Series 3 license as well as several other FINRA licenses. Joseph's previous employers include Siebert Cisneros Shank & Co., L.L.C., MYD MARKET, INC, M. R. BEAL & COMPANY, MAGNA, NIKKO ALTERNATIVE ASSET MANAGEMENT, INC., WALL STREET ADVISORS, INC. and WALL STREET ACCESS. Joseph is licensed in Connecticut, New York, and Washington.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
NY
07/30/2019 - Present
THE Klein Group, LLC (New York NY)
NY
04/21/2015 - 07/26/2019
SIEBERT CISNEROS SHANK & CO., L.L.C. (NEW YORK NY)
NY
01/30/2015 - 04/17/2015
MYD MARKET, INC (NEW YORK NY)
NY
03/18/2010 - 01/29/2014
M. R. BEAL & COMPANY (NEW YORK NY)
NY
03/30/2007 - 02/11/2010
MAGNA (NEW YORK CITY NY)
NY
06/28/2000 - 07/15/2005
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC. (NEW YORK NY)
MA
03/12/1998 - 06/19/2000
WALL STREET ADVISORS, INC. (BOSTON MA)
NY
04/28/1997 - 06/19/2000
WALL STREET ACCESS (NEW YORK NY)
IA
Issued 04/27/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/11/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/29/2016
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/23/2007
Series 27 - Financial and Operations Principal Examination
BC
Issued 04/08/1998
Series 24 - General Securities Principal Examination
BC
Issued 03/04/1998
Series 4 - Registered Options Principal Examination
BC
Issued 07/08/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 06/25/1997
Series 14 - Compliance Officer Examination
BC
Issued 01/02/2023
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/30/2000
Series 3 - National Commodity Futures Examination
BC
Issued 11/10/1998
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/25/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Joseph Mendola is the right advisor for you? Invested Better is here to help.
