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JF

Joseph V. Funk

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CRD#: 1232248
JF

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 Valentine Funk was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1984. Joseph had worked at 9 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 5, 2013 - November 29, 2016

BENJAMIN & JEROLD BROKERAGE I, LLC

BD
CRD#: 29110
NEW YORK, NY
Past

July 12, 2010 - January 4, 2011

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

April 1, 2008 - June 7, 2010

DASH FINANCIAL TECHNOLOGIES LLC

BD
CRD#: 104031
NEW YORK, NY
Past

April 4, 2007 - September 24, 2007

FM PARTNERS HOLDINGS LLC

BD
CRD#: 134736
NEW YORK, NY
Past

March 17, 2004 - April 12, 2007

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

January 1, 2001 - March 22, 2002

BNY CLEARING SERVICES LLC

BD
CRD#: 15879
MILWAUKEE, WI
Past

July 25, 1991 - January 1, 2001

SCHRODER & CO. INC.

BD
CRD#: 6112
NEW YORK, NY
Past

February 28, 1991 - July 26, 1991

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

July 16, 1990 - March 4, 1991

SCHRODER & CO. INC.

BD
CRD#: 6112
NEW YORK, NY
Past

January 25, 1984 - August 19, 1989

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/14/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/29/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 10/6/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/21/1984
General Securities Representative Examination

Current Firm

B&
BENJAMIN & JEROLD BROKERAGE I, LLC
ALTERNATIVE INVESTMENT STORE | OPAL CAPITAL GROUP | MCCAULEY GROUP | GLOBAL SHARES EXECUTION SERVICES | GGK GROUP | DA GAMA PARTNERS | D.E. MACGOWN & CO | CURATED CAPITAL GROUP | BENJAMIN & JEROLD BROKERAGE, INC. | BENJAMIN & JEROLD BROKERAGE I, LLC

CRD#: 29110 / SEC#: , 8-44133

BD
Terminated by SEC on 04/13/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 02/01/2010
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DOLAN, TERENCE JR.CEO, CCO, AML, OWNER2352516

Disclosures

Regulatory Event6
Arbitration3

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.

Company Information

BENJAMIN & JEROLD BROKERAGE I, LLC

CRD#: 29110

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