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Joseph P Defazio

10Th Street Capital

Ventnor City, NJ

Philadelphia, PA

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Current Employers
10Th Street Capital

Philadelphia, PA • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2023-08-30
PA RA APPROVED 2023-03-13
  • NJ RA
    APPROVED
    Since 2023-08-30
  • PA RA
    APPROVED
    Since 2023-03-13

Branch Locations

Ventnor City, NJ • United States

Philadelphia, PA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Northwestern Mutual Philadelphia PA 07/2013 07/2022
10Th Street Capital Llc Philadelphia PA 10/2022 Present
  • 07/2013 → 07/2022
    Northwestern Mutual
    Philadelphia, PA
  • 10/2022 → Present
    10Th Street Capital Llc
    Philadelphia, PA
Previous Registrations
Other Businesses

10TH STREET CAPITAL LLC, NON-INVESTMENT RELATED, LICENSED TO SELL INSURANCE PRODUCTS, FILE TAXES, FEE-BASED FINANCIAL PLANNING, CONSULTATION

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2012-03-09
S65 Uniform Investment Adviser Law Examination 2012-02-08
  • S63 Uniform Securities Agent State Law Examination
    2012-03-09
  • S65 Uniform Investment Adviser Law Examination
    2012-02-08
Designations
Other Names
  • Joseph Defazio

View on SEC IAPD

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