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Joseph J Sindoni

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Information

Firm:
Type: Registered Representative
Description

Joseph Sindoni is a financial professional at Cadaret Grant & Co Inc, a broker-dealer with 982 registered representatives nationwide. Joseph has held an industry securities registration for 9 years and is subject to FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Briarwood Wealth Management, LLC 4 years, 11 months Sep 2009 - Present
Cadaret, Grant & Co., Inc. 4 years, 11 months Sep 2009 - Present
Key Investment Services LLC 3 years, 1 month Aug 2006 - Sep 2009
M&T Securities 1 year, 2 months Jun 2005 - Aug 2006
Usfmg 8 months Oct 2004 - Jun 2005
Pruco Securities Corporation 1 year, 1 month Sep 2003 - Oct 2004
Prudential Insurance Company 1 year, 1 month Sep 2003 - Oct 2004
Syracuse City Schools 3 years, 1 month Aug 2000 - Sep 2003
Exams
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 11/03/2003
General Securities Representative ExaminationSeries 7 10/21/2003

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Joseph J Sindoni has not answered any questions on Financial Q&A.

Top Guides

Joseph J Sindoni has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Not registered
Registered
Disclosures

1 Termination

1 Termination

As of Date
12/06/2012
08/23/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees