Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Dipaolo is a financial professional with over 30 years of experience in the industry. Joseph is currently registered with RBC Capital Markets, LLC as a Registered Representative. Joseph is a Series 7, 24, 52, 53 and 99TO licensed professional and has passed the SIE exam. Joseph has also held previous registrations with RBC Capital Markets Corporation, Mizuho Securities USA Inc., Dresdner Kleinwort Benson North America LLC, Dresdner Securities (USA) Inc. and CitiCorp Securities, Inc. Joseph is a dedicated professional who is committed to providing clients with personalized financial advice.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
NY
02/29/2008 - Present
RBC Capital Markets, LLC (NEW YORK NY)
NY
10/26/2007 - 02/29/2008
RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)
NY
01/27/1999 - 10/16/2007
MIZUHO SECURITIES USA INC. (NEW YORK NY)
NY
12/17/1996 - 01/27/1999
DRESDNER KLEINWORT BENSON NORTH AMERICA LLC (NEW YORK NY)
NY
11/22/1994 - 12/17/1996
DRESDNER SECURITIES (USA) INC. (NEW YORK NY)
NY
04/12/1993 - 10/26/1994
CITICORP SECURITIES, INC. (NEW YORK NY)
NY
03/21/1991 - 04/14/1993
BARCLAYS DE ZOETE WEDD SECURITIES INC. (NEW YORK NY)
BC
Issued 04/30/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/08/2015
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/05/1995
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/01/1992
Series 3 - National Commodity Futures Examination
BC
Issued 03/20/1991
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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