Lime Trading
Joseph L. has extensive work experience in the field of compliance and operations. Joseph currently holds the position of Chief Compliance Officer at Lime Financial since March 2023. Prior to this, Joseph served as an Adjunct Professor at Fordham University School of Law starting from November 2022.
Joseph also has experience as a Chief Compliance Officer - US at capital.com from November 2021 to March 2023. Before that, they worked at Guggenheim Partners, where they held various roles, including Managing Director, Global Head of Compliance Surveillance and Technology from May 2016 to November 2021, and Managing Director, Chief Compliance Officer from March 2013 to May 2016.
Joseph'searlier experience includes roles at AllianceBernstein as Senior Vice President /Chief Operating Officer from June 2010 to July 2012, Barclays Investment Bank as Director, Supervisory Group from September 2008 to May 2010, Lehman Brothers as Senior Vice President, Director of Compliance from November 2004 to September 2008, UNX as Chief Operating Officer / Managing Director from November 2000 to March 2004, and Banc of America Securities / Montgomery Securities as Managing Director, Director of Operations from 1999 to 2000, and Managing Director, HNW Branch Chief Administrative Officer from 1996 to 1999.
Joseph L. attended Pace University, Lubin School of Business from 1985 to 1988, where they obtained a Bachelor of Business Administration (B.B.A) degree with a focus on Finance. Furthermore, Joseph has additional certifications from FINRA, including Series 24, Series 63, Series 7, and Series 8. However, specific details regarding the months and years of obtaining these certifications are not provided.
Lime Trading
Have you ever missed an opportunity due to slow execution? Our founders were hedge fund traders who couldn’t find a brokerage firm to meet their needs for volume, speed, and privacy — so they created their own. For over 20 years, Lime has catered to a competitive group of financial institutions. Now, we're expanding our brokerage firm services to independent traders and investors. --- As a brokerage firm, we are subject to regulations pertaining to the comments and dialogues on our social media. Due to these restrictions, please understand we may remove or not respond to comments for a variety of reasons, including but not limited to: - Profanity - Offensive, abusive, defamatory, or unlawful posts - Discussions about investment advice or products, specific investments or securities, or trading strategies - Instructions for any account-related transactions - Personal, transaction, or account information disclosure We encourage you to only post content relevant to our page. Content posted on this site should not be considered a recommendation or investment advice. Lime Trading does not endorse or adopt any third-party opinions, views, or statements posted on our page. Any content posted by third parties is their own and may not represent or be indicative of others' opinions, views, and experiences. If you have a business affiliation with Lime Trading or any other beneficial motives for commenting on the site you may have an obligation to disclose that relationship within the post. ©2022 Securities are offered by Lime Trading Corp., member FINRA & SIPC, NFA. All investing incurs risk, including but not limited to loss of principal. Further information may be found on our Disclosures page.