Joseph G. Kathrein
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 George Kathrein JR was a registered financial advisor .
Joseph is a previously registered financial advisor and started their career in finance in 1982. Joseph had worked at 2 firms and has passed the Series 65, Series 63, Series 7, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2009 - November 23, 2010
GRAHAM & CO. ADVISORY, INC.
August 27, 2009 - August 28, 2009
GRAHAM & CO. ADVISORY, INC.
August 28, 2002 - June 25, 2003
QUICK & REILLY, INC.
December 9, 1982 - June 25, 2003
QUICK & REILLY, 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 8
Date: 8/5/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GRAHAM & CO. ADVISORY, INC.
CRD#: 123539 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 18,478,163 |
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.
