Tracey J. Karekos
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.
Tracey James Karekos was a registered financial professional .
Tracey is a previously registered financial professional and started their career in finance in 1983. Tracey had worked at 8 firms and has passed the Series 63, Series 7 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
November 10, 1992 - March 9, 1995
JOSEPHTHAL & CO., INC.
January 3, 1991 - May 27, 1992
PRIVATE INVESTORS CARTEL, LTD.
November 3, 1987 - January 2, 1991
RICHFIELD SECURITIES, INC.
May 27, 1987 - November 6, 1987
FIRST DEVONSHIRE SECURITIES, INC.
April 15, 1987 - June 12, 1987
GREAT LAKES EQUITIES CO.
September 7, 1984 - March 9, 1987
MICHAEL C. TALLEY & CO., INC.
August 31, 1984 - September 10, 1984
KOBRIN SECURITIES, INC.
October 20, 1983 - September 17, 1984
FIRST JERSEY SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
JOSEPHTHAL & CO., INC.
CRD#: 3227 / SEC#: , 8-5651
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOSEPHTHAL CAPITAL GROUP, INC. | PARENT | |
| AGOSTA, SALVATORE FRANK | CHIEF FINANCIAL OFFICER | 1253738 |
| FICHTNER, HENRY ARTHUR | NATIONAL MANAGER-RETAIL DIVISION-VICE PRESIDENT | 1327009 |
| FITZGERALD, PAUL HENRY | CEO - CHAIRMAN - PRESIDENT - CHIEF OPERATING OFFICER - DIRECTOR | 812775 |
| HURLEY, KEVIN BRADY | COMPLIANCE DIRECTOR | 1293748 |
| KRONENBERG, DAVID HIRSCH | CHIEF ADMINISTRATIVE OFFICER | 1799665 |
| MATYCKAS, EDWARD STANLEY | CROP/SROP | 1405961 |
| MCCABE, DONALD GERARD | GENERAL COUNSEL - REGULATION & LITIGATION - ASSISTANT SECRETARY | 1367480 |
| MCNAMARA, DENNIS PATRICK | GENERAL COUNSEL - CORPORATE-VICE PRESIDENT | 2938486 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 12 |
Red Flags
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