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Joseph Notaro

Daiwa Capital Markets America Inc.

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About Joseph Notaro

Joseph Notaro is a financial professional with over 18 years of experience in the industry. Currently, Joseph is registered with Daiwa Capital Markets America Inc. Joseph has held previous positions with NATWEST MARKETS SECURITIES INC., CIBC WORLD MARKETS CORP., TD SECURITIES (USA) LLC, RBS SECURITIES INC., CANTOR FITZGERALD & CO. and WACHOVIA SECURITIES, LLC. Joseph holds a Series 3, Series 7, Series 55, Series 57TO, Series 63 and Series 65 licenses.

Firm Information

Joseph Notaro is currently registered with Daiwa Capital Markets America Inc.. Daiwa Capital Markets America Inc. is a corporation formed on December 8, 1964, and is registered in all 50 U.S. states, the District of Columbia, and Puerto Rico. The firm has been approved by the SEC and has a total of 53 registrations.

Not reported

Assets Under Management

Not reported

Total Clients

69

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Joseph Notaro’s Registration & Firm History

NY

01/16/2024 - Present

Daiwa Capital Markets America Inc. (NEW YORK NY)

CT

01/18/2022 - 01/17/2024

NATWEST MARKETS SECURITIES INC. (STAMFORD CT)

NY

07/27/2018 - 01/11/2022

CIBC WORLD MARKETS CORP. (NEW YORK NY)

NY

02/25/2010 - 05/02/2018

TD SECURITIES (USA) LLC (NEW YORK NY)

CT

11/10/2009 - 02/11/2010

RBS SECURITIES INC. (STAMFORD CT)

CT

08/26/2009 - 11/06/2009

RBS SECURITIES INC. (STAMFORD CT)

CT

03/05/2007 - 05/20/2008

CANTOR FITZGERALD & CO. (DARIEN CT)

CT

03/23/2004 - 02/26/2007

WACHOVIA SECURITIES, LLC (DANBURY CT)

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Licenses & Designations

IA

Issued 11/03/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/11/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 08/31/2020

Series 3 - National Commodity Futures Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/03/2007

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 03/19/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Joseph Notaro.
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