Joseph P. Tufo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Paul Tufo was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1982. Joseph had worked at 3 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 1986 - December 16, 1997
SIFE
October 28, 1982 - June 26, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
April 29, 1982 - October 27, 1982
SOUTHMARK FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SIFE
CRD#: 3355 / SEC#: , 8-9539
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BELDING, DIANE KATHERINE | DIRECTOR/OWNER | 1158679 |
| FROEHLICH, CHARLES WALTON JR | DIRECTOR/OWNER | |
| MARCHESE, SAM ANTHONY | DIRECTOR/OWNER | 1253001 |
| TUDISCO, SHARON ELLEN | DIRECTOR/OWNER | 1480632 |
| WOODS, JOHN LOUIS | OWNER | 472404 |
| STEAD, MICHAEL JOHN | CHIEF INVESTMENT OFFICER, OWNER | 2607753 |
| WOODS, BRUCE WEBB | OWNER & EX-PRESIDENT & CEO | 1004326 |
| COLMERY, JOSEPH P. | INDEPENDENT DIRECTOR | |
| ISAACSON, GARY ARVIN | CHIEF FINANCIAL OFFICER | 2509798 |
| KING, JOHN PRESTON | PRESIDENT, CEO, AND CHIEF COMPLIANCE OFFICER | 1721113 |
| MCREYNOLDS, CARY D | GENERAL COUNSEL | 3151126 |
Disclosures
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
