Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Troy is a financial advisor with over 17 years of experience in the financial services industry. Joseph is currently registered with Icapital Markets LLC, located in Greenwich, CT. Prior to joining Icapital Markets, Joseph was employed at a number of other firms, including ICAPITAL SECURITIES, LLC, UMB DISTRIBUTION SERVICES, LLC, HATTERAS CAPITAL, MESIROW FINANCIAL, INC., FORESIDE FUND SERVICES, LLC, UBS FINANCIAL SERVICES INC., PRUDENTIAL EQUITY GROUP, LLC, PRUDENTIAL EQUITY GROUP, INC., and MORGAN STANLEY & CO., INCORPORATED. Joseph holds licenses in all 50 states as well as the District of Columbia. He is a Series 7, Series 31, Series 55, and Series 63 licensed advisor.
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.
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CT
11/30/2023 - Present
Icapital Markets LLC (Greenwich CT)
CT
06/26/2023 - 11/30/2023
ICAPITAL SECURITIES, LLC (Greenwich CT)
WI
11/03/2017 - 03/16/2018
UMB DISTRIBUTION SERVICES, LLC (MILWAUKEE WI)
NC
12/03/2014 - 11/12/2015
HATTERAS CAPITAL (RALEIGH NC)
NY
04/14/2011 - 04/16/2014
MESIROW FINANCIAL, INC. (NEW YORK NY)
NY
01/18/2007 - 09/07/2007
FORESIDE FUND SERVICES, LLC (NEW YORK CITY NY)
NJ
01/01/2006 - 01/08/2007
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
01/14/2004 - 07/28/2004
PRUDENTIAL EQUITY GROUP, LLC (NEW YORK NY)
NY
05/11/2000 - 12/31/2003
PRUDENTIAL EQUITY GROUP, INC. (NEW YORK NY)
NY
08/12/1994 - 05/02/2000
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
BC
Issued 07/07/2023
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 07/15/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/26/2023
Series 7TO - General Securities Representative Examination
BC
Issued 06/01/2023
SIE - Securities Industry Essentials Examination
BC
Issued 05/18/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 04/13/2011
Series 7 - General Securities Representative Examination
BC
Issued 07/06/2000
Series 55 - Limited Representative-Equity Trader Exam
Active
Inactive
F
FINRA
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