Joseph F. Hickey
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 Francis Hickey JR, who also goes by Joe Hickey Jr, Joseph Franics Hickey, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1983. Joseph had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2011 - June 2, 2016
CLEARY GULL INC.
March 10, 2011 - July 20, 2023
JOHNSON WEALTH INC.
January 26, 2006 - March 4, 2008
SUMMIT INVESTMENT MANAGEMENT, LTD.
January 22, 2003 - June 2, 2016
CLEARY GULL INC.
November 1, 1999 - April 12, 2001
TUCKER ANTHONY INCORPORATED
November 27, 1998 - November 1, 1999
CLEARY GULL INC.
May 29, 1991 - November 27, 1998
CLEARY GULL REILAND & MCDEVITT INC.
September 4, 1990 - February 22, 1991
WELLS FARGO CLEARING SERVICES, LLC
January 26, 1984 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
April 27, 1983 - August 29, 1983
WINDSOR EQUITY CORPORATION
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
CLEARY GULL INC.
CRD#: 45309 / SEC#: 801-55574, 8-51037
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CGIB, INC. | DIRECT OWNER | |
| BREMMER, PATRICK JAMES | MANAGING DIRECTOR | 5743353 |
| CHIMENTI, RYAN CHRISTOPHER | MANAGING DIRECTOR | 5709935 |
| GORLINSKI, GREGORY THOMAS | MANAGING DIRECTOR | 2068899 |
| KINZER, CAROL ANN | FINANCIAL AND OPERATIONS PRINCIPAL | 4519471 |
| MILLER, RONALD DAVID | PRESIDENT (5/2016) AND MANAGING DIRECTOR | 1172700 |
| OLSTA, RYAN A | MANAGING DIRECTOR | 4197266 |
| PETERSON, JOHN REUBEN | MANAGING DIRECTOR, SECRETARY | 2835168 |
| WAWRZYNIAKOWSKI, JAMES FRANCIS JR | CHIEF ADMINISTRATIVE OFFICER, CHIEF COMPLIANCE OFFICER AND ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 4061554 |
Disclosures
| Regulatory Event | 6 |
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.
