Joseph J. Plese
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 Jeffery Plese, who also goes by Joseph Jeffrey Plese, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1983. Joseph had worked at 5 firms and has passed the Series 63 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2002 - March 31, 2017
CRAIG-HALLUM CAPITAL GROUP LLC
July 5, 2001 - June 18, 2002
THINKEQUITY LLC
June 29, 1987 - March 6, 2000
JOHN G. KINNARD AND COMPANY, INCORPORATED
March 21, 1985 - February 18, 1987
AAM SECURITIES, INC.
March 11, 1983 - February 4, 1985
MIDLAND MANAGEMENT CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CRAIG-HALLUM CAPITAL GROUP LLC
CRD#: 121395 / SEC#: , 8-65407
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
