Inactive

Joseph Nicholas Dagostino

Westend Advisors, LLC

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Current Employers

Westend Advisors, Llc

1001 Morehead Square Drive Suite 600, Charlotte, NC 28203 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2018-02-15

NC RA
APPROVED

Since 2018-02-15

Branch Locations

1001 Morehead Square Drive Suite 600, Charlotte, NC 28203 • 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

Organization	City	State	From	To
Westend Advisors, Llc	Charlotte	NC	09/2015	Present
Dynasty Financial Partners, Llc	St. Petersburg	FL	10/2020	Present

09/2015 → Present

Westend Advisors, Llc

Charlotte, NC
10/2020 → Present

Dynasty Financial Partners, Llc

St. Petersburg, FL

Previous Registrations

2022-02-24 → 2023-09-07

Dynasty Wealth Management, Llc

St. Petersburg, FL
2009-06-01 → 2012-12-19

Morgan Stanley

Purchase, NY
1991-01-09 → 2009-06-01

Citigroup Global Markets Inc.

New York, NY

New York, NY
2005-12-20 → 2006-02-21

Legg Mason Wood Walker, Incorporated

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2018-02-15
S63	Uniform Securities Agent State Law Examination	1984-09-06

S65 Uniform Investment Adviser Law Examination

2018-02-15
S63 Uniform Securities Agent State Law Examination

1984-09-06

Other Names

Joseph Nicholas Dagostino
Joseph Nicholas D'AGostino
Joseph Nicholas D'AGostino

View on SEC IAPD

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