Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Michael Caticchio is a financial advisor with over 30 years of experience in the financial services industry. Joseph Michael Caticchio has been with State Street Global Advisors Funds Distributors, LLC since May 2019. Prior to that, Joseph Michael Caticchio worked for ULLICO INVESTMENT COMPANY, INC., Piper, Jaffray & Hopwood Incorporated, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Joseph Michael Caticchio holds Series 3, 7, 30, 63 and 65 licenses and is registered to conduct business in all 50 states and the District of Columbia.
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
MA
05/20/2019 - Present
State Street Global Advisors Funds Distributors, LLC (Boston MA)
MD
03/23/2006 - 11/03/2006
ULLICO INVESTMENT COMPANY, INC. (SILVER SPRING MD)
NA
06/09/1986 - 02/19/1987
PIPER, JAFFRAY & HOPWOOD INCORPORATED
NA
06/19/1985 - 07/02/1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BC
Issued 06/14/2019
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 07/31/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/07/2020
Series 30 - NFA Branch Manager Examination
BC
Issued 07/08/2019
Series 3 - National Commodity Futures Examination
BC
Issued 05/20/2019
Series 7TO - General Securities Representative Examination
BC
Issued 05/10/2019
SIE - Securities Industry Essentials Examination
BC
Issued 03/22/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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