Joseph M. Braunschek
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 Michael Braunschek, who also goes by Joseph Michael Braunshek, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2010 - November 17, 2022
WHITEMARSH CAPITAL ADVISORS
January 27, 1994 - December 23, 1997
J.G. WENTWORTH SECURITIES, INC.
April 6, 1993 - November 8, 1993
TD WEALTH MANAGEMENT SERVICES INC.
September 4, 1991 - October 16, 1992
WILLIAM E. SIMON & SONS MUNICIPAL SECURITIES, INC.
November 1, 1989 - June 19, 1990
KEYBANC CAPITAL MARKETS INC.
October 22, 1987 - September 13, 1989
INVESCO CAPITAL MARKETS, 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
WHITEMARSH CAPITAL ADVISORS
CRD#: 127373 / SEC#: , 8-65988
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
