Joseph P. Achenbaum
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 Peter Achenbaum was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1992. Joseph had worked at 6 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
May 8, 2008 - July 10, 2008
KERLIN CAPITAL GROUP LLC
September 26, 1997 - June 28, 2012
WINSTON ADVISORS, LLC
September 22, 1997 - December 14, 2000
TREGA SECURITIES, L.L.C.
November 6, 1996 - April 29, 1997
GREENWICH HIGH YIELD LLC
October 14, 1993 - December 3, 1994
BANCAMERICA SECURITIES, INC.
October 2, 1992 - August 10, 1993
CITIGROUP GLOBAL 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
Current Firm
KERLIN CAPITAL GROUP LLC
CRD#: 40263 / SEC#: , 8-48997
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOYLE, CHERYL SECREST | OWNER | |
| DOYLE, WILLIAM KERSTEN | MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER | 1736503 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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