Joseph Spidalieri has been Chief Operating Officer of Carnegie Capital Asset Management since November 2023, is a control person of the firm and directly owns under 5% of it. Joseph Spidalieri holds a Bachelor of Science in Finance and Marketing from Miami University and an MBA from Weatherhead School of Management, Case Western Reserve University.
Carnegie Capital Asset Management, LLC is a Pepper Pike, OH firm with $7.51B under management, 3,281 clients and 39 advisers across 11 offices, as of its July 2026 filing.
Joseph M. Spidalieri is Chief Operating Officer of Carnegie Investment Counsel, based in Cleveland. Spidalieri's most recent prior position was Chief Operating Officer at Ancora Holdings, before its sale to Focus Financial in 2021. Previous positions include Chief Compliance Officer, head equity trader and administrator of the portfolio accounting system, and Spidalieri previously worked at American Express in its Finance and Money Management division.
No adviser firm registrations are on Joseph Spidalieri’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 57TO | Securities Trader Exam | 2 January 2023 |
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 16 October 2013 |
| Series 4 | Registered Options Principal Examination | 3 April 2008 |
| Series 55 | Limited Representative-Equity Trader Exam | 29 April 2004 |
| Series 66 | Uniform Combined State Law Examination | 19 October 2001 |
| Series 7 | General Securities Representative Examination | 21 August 2001 |
- Name
- Securities Trader Exam
- Name
- Investment Banking Registered Representative Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Joseph Michael Spidalieri
- CRD
- 4419389
- Firm
- Carnegie Capital Asset Management · CRD 150488
- Role
- Chief Operating Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- carnegieinvest.com
Where does Joseph Spidalieri work?
Joseph Spidalieri has been Chief Operating Officer of Carnegie Capital Asset Management, LLC since November 2023, and is a control person of the firm.
Does Joseph Spidalieri have a current investment-adviser registration?
Joseph Spidalieri has no current investment-adviser or broker registration.
What exams has Joseph Spidalieri passed?
Joseph Spidalieri has passed 8 licensing exams: the Series 7, Series 66, Series 55, Series 4, Series 24, Series 57TO, Series 79TO and Series 99TO. The earliest, the Series 7, was passed in August 2001. FINRA credited Joseph Spidalieri with the SIE, which began in October 2018.
Is Joseph Spidalieri registered with FINRA?
No. Joseph Spidalieri has no current broker registration.
How can I verify Joseph Spidalieri’s record?
Search CRD 4419389 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Joseph Spidalieri’s full registration record.
Richard AltChief Executive Officer/Principal
Gary WagnerPresident/Principal- Ann Shigemura-HildebrandChief Compliance Officer
Benjamin ConnardPrincipal, Director, Portfolio Manager
John KnoxPrincipal, Director
Michael OliverPrincipal, Director, Portfolio Manager
David TillsonPrincipal, Director, Portfolio Manager