Broker Check
Joseph Napolitano

Joseph Napolitano

Operations Manager, Compliance Officer

Favorite quote: If what you did yesterday seems big, you haven’t done anything today.  –Lou Holtz

As Operations Manager, Joe supports the Director with operations management. This involves working with all staff members to make certain established workflows (internal procedures) are adequate, up-to-date and being followed. As Compliance Officer, he ensures staff activity and procedures are in compliance with all applicable regulatory agencies.

Joe holds Series 4, 7, 24, and 53 Registrations with LPL Financial and the Series 66 Registration with LPL Financial and Marshall & Sterling Wealth Advisors.

Working in the financial industry since 2003, Joe takes great pride in his ability to utilize his skills and experience to guide the entire staff in seeking to deliver the best client experience possible. Combined with developing and ensuring compliant procedures, he appreciates his contribution to helping Marshall & Sterling Wealth Advisor’s clients pursue their goals.

When not working, Joe enjoys playing golf or softball and spending time with his family.

 

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