BrokerCheck Help Line (800) 289-9999    Schedule a Call
FINRA Home
at
in
in
By clicking the SEARCH button or otherwise using BrokerCheck, I agree to BrokerCheck Terms of Use
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
JOSEPH C. DESAPIO
CRD#: 5837553
PR
Previously Registered Broker
SUSPENDED
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
Registration History
20102012201420162018202020222024BSPARTAN CAPITAL SECURITIES, LLC (CRD# 146251)2017 - 2022 (5 years)BWORDEN CAPITAL MANAGEMENT LLC (CRD# 148366)2016 - 2017 (<1 year)BLEGEND SECURITIES, INC. (CRD# 44952)2013 - 2016 (3 years)BJOSEPH GUNNAR & CO. LLC (CRD# 24795)2012 - 2013 (1 year)BBROOKSTONE SECURITIES, INC. (CRD# 13366)2010 - 2012 (1 year)
Disclosure(s)
View By:
3/8/2024
Regulatory
Final
7/24/2023
Regulatory
Final
6/28/2022
Employment Separation After Allegations
2/3/2022
Customer Dispute
Settled
1/23/2017
Judgment / Lien
4/30/2015
Judgment / Lien
2/18/2015
Judgment / Lien
1/9/2014
Judgment / Lien
3/9/2012
Judgment / Lien
7/29/2011
Customer Dispute
Settled
Previous Registration(s)
th hidden textth hidden textNameLocation
B
05/05/2017 - 07/27/2022 SPARTAN CAPITAL SECURITIES, LLC (CRD#:146251) NEW YORK, NY
B
11/04/2016 - 05/05/2017 WORDEN CAPITAL MANAGEMENT LLC (CRD#:148366)
FINRA expelled the firm on 07/25/2022
New York, NY
B
08/23/2013 - 11/09/2016 LEGEND SECURITIES, INC. (CRD#:44952)
FINRA expelled the firm on 04/17/2017
NEW YORK, NY
B
06/20/2012 - 08/30/2013 JOSEPH GUNNAR & CO. LLC (CRD#:24795) STATEN ISLAND, NY
B
08/30/2010 - 06/22/2012 BROOKSTONE SECURITIES, INC. (CRD#:13366)
FINRA expelled the firm on 10/09/2012
STATEN ISLAND, NY
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

Click here for more information about how to check on an investment professional.

B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

Use of the BrokerCheck site is subject to
BrokerCheck Terms of Use

©2025 FINRA, All Rights Reserved

FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.