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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 991 registered representatives nationwide. Joseph has held an industry securities registration for 9 years and is subject to FINRA oversight.

BrightScope Advisor Metrics

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.

Experience and Employment History

Employer Years Dates
Briarwood Wealth Management, LLC 4 years, 7 months Sep 2009 - Present
Cadaret, Grant & Co., Inc. 4 years, 7 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
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 12/06/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

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.

Advisor Exams

Exam Series Passed Date
Uniform Combined State Law Examination Series 66 11/03/2003
General Securities Representative Examination Series 7 10/21/2003

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees