Role at Curi Capital
- Title on Schedule A
- Chief Compliance Officer & Chief Risk Officer
- Control
- Joseph McDermott is a control person of Curi Capital.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Joseph McDermott has held the filed role since October 2022.
The firm
Career on record
Joseph McDermott has been registered through Curi Capital since August 2023, and before that through Amp Wealth Management and Aviva Investors Americas.
- Passed Series 52TO and Series 99TO · 2023
- Amp Wealth Management– · 2 yearsHawthorn Woods, IL · Adviser representative · Firm CRD 108712
- Passed SIE · 2018
- Passed Series 65 and Series 31 · 2017
- Aviva Investors Americas– · 1 yearChicago, IL · Adviser representative · Firm CRD 163989
- Passed Series 3 and Series 4 · 2007
- Passed Series 53 · 2006
- Passed Series 27 · 2001
- Passed Series 7, Series 24, Series 66 and Series 55 · 2000
Registrations and exams
Joseph McDermott has a current investment-adviser registration in Illinois and has passed 13 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Illinois | Investment adviser representative | Approved | 7 August 2023 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 10 February 2017 |
| Series 66 | Uniform Combined State Law Examination | 5 May 2000 |
| Series 4 | Registered Options Principal Examination | 29 December 2007 |
| Series 53 | Municipal Securities Principal Examination | 7 December 2006 |
| Series 27 | Financial and Operations Principal Examination | 5 January 2001 |
| Series 24 | General Securities Principal Examination | 7 April 2000 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 27 April 2018 |
| Series 31 | Futures Managed Funds Examination | 31 May 2017 |
| Series 3 | National Commodity Futures Examination | 29 June 2007 |
| Series 55 | Limited Representative-Equity Trader Exam | 16 May 2000 |
| Series 7 | General Securities Representative Examination | 3 April 2000 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Combined State Law Examination
- Name
- Registered Options Principal Examination
- Name
- Municipal Securities Principal Examination
- Name
- Financial and Operations Principal Examination
- Name
- General Securities Principal Examination
- Name
- Municipal Securities Representative Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- National Commodity Futures Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- General Securities Representative Examination
Individual record
- Full name
- Joseph McDermott
- CRD
- 4146135
- Registration status
- Investment adviser and broker registrations
- Office
- ONE NORTH WACKER DRIVE, SUITE 3500, Chicago, IL 60606
- Firm bio
- curicapital.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
Curi identifies Joe McDermott as Partner, Chief Compliance Officer and Chief Risk Officer, matching the filed roles for Joseph McDermott. The profile lists prior compliance roles at Alaric Compliance Services and Aviva Investors Americas. Official firm biography
Common questions
Where does Joseph McDermott work?
Joseph McDermott has been Chief Compliance Officer & Chief Risk Officer of Curi Capital, LLC since October 2022, and is a control person of the firm.
Is Joseph McDermott a financial advisor?
Yes. Joseph McDermott has a current investment-adviser registration in Illinois, through Curi Capital since August 2023, as of 17 October 2026.
How many years of experience does Joseph McDermott have?
Joseph McDermott has worked in the financial industry for 23 years as of 17 October 2026, counted from 22 April 2003, across 3 adviser firms.
What exams has Joseph McDermott passed?
Joseph McDermott has passed 13 licensing exams: the Series 7, Series 24, Series 66, Series 55, Series 27, Series 53, Series 3, Series 4, Series 65, Series 31, SIE, Series 52TO and Series 99TO. The earliest, the Series 7, was passed in April 2000.
Where did Joseph McDermott work before Curi Capital?
Before Curi Capital, Joseph McDermott was registered through Amp Wealth Management, April 2020 to October 2022; Aviva Investors Americas, February 2017 to May 2018.
Where is Joseph McDermott based?
Joseph McDermott’s registered office is in Chicago, IL.
Leadership at Curi Capital
- Dimitri EliopoulosChief Executive Officer
- Donald BechterPresident
- Maher HarbChief Financial Officer
- Christopher GraffChief Operating Officer
- Richard BurridgeExecutive Chairman