Josephine Segota
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.
Josephine Segota, who also goes by Josephine Segota Gomez, was a registered financial professional .
Josephine is a previously registered financial professional and started their career in finance in 1987. Josephine had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2021 - December 17, 2024
CANNELL & SPEARS LLC
January 27, 2014 - August 23, 2017
FORESIDE FUND SERVICES, LLC
September 10, 2007 - May 7, 2012
JEFFERIES LLC
November 21, 2000 - June 14, 2006
LEVCO SECURITIES, INC.
January 11, 2000 - August 24, 2000
FIRST UNION BROKERAGE SERVICES, INC.
January 29, 1999 - November 9, 1999
FAMILY MANAGEMENT SECURITIES, LLC
August 19, 1991 - October 20, 1998
GLICKENHAUS & CO.
February 26, 1987 - September 7, 1990
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
CANNELL & SPEARS LLC
CRD#: 142633 / SEC#: 801-67401
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
CANNELL & SPEARS LLC
CRD#: 142633 / SEC#: 801-67401
Contact information
SEC notice filing (29 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,486 |
| AUM (Assets Under Management) | $ 6,316,371,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2025 | ||
| 03/13/2025 | ||
| 03/13/2025 | ||
| 03/13/2025 | ||
| 03/13/2025 | ||
| 05/23/2023 |
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.
