Joseph L. Fraites
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 Lawrence Fraites was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1984. Joseph had worked at 3 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2002 - April 4, 2002
BENSON YORK GROUP, INC.
August 4, 1997 - December 31, 1999
LAMBORN SECURITIES INCORPORATED
June 20, 1984 - May 2, 1997
PRUDENTIAL EQUITY GROUP, LLC
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
BENSON YORK GROUP, INC.
CRD#: 40231 / SEC#: , 8-48986
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MID ISLAND GROUP LP | MEMBER | |
| ALTER,EDWARD,T. | SHAREHOLDER | |
| BRENNAN, KEVIN PATRICK | CEO | 3009014 |
| CHEESE, PETER AYRTON | SHAREHOLDER | 4135870 |
| CONROY, JOHN JOSEPH | PRESIDENT | 3008995 |
| DAVID, MCMILLIAN | SHAREHOLDER | 4615688 |
| DEMETRI, GARY P | GENERAL PRINCIPAL | 1744849 |
| DUBIN, BRYAN H. | SHAREHOLDER | 4133663 |
| FOLBERTH, RONALD W | SHAREHOLDER | 3146128 |
| FRIEDMAN, SOLOMON | SHAREHOLDER | 4133919 |
| HOMAYOONFAR, FARHAD DAVID | SHAREHOLDER | 4135853 |
| JERMYN, JOHN JAMES | SHAREHOLDER | |
| KRUG, MARK ANDREW | SHAREHOLDER | 4135859 |
| KUPFER, TERRANCE W. | SHAREHOLDER | 4134006 |
| LAMPIASI, VICTOR NONE | SHAREHOLDER | 4615691 |
| LARSON, DENNIS | SHAREHOLDER | 4615682 |
| LENZ, GORDON UNKNOWN II | SHAREHOLDER | 4512437 |
| LUCE, JAMES EDWIN | SHAREHOLDER | 3146136 |
| MCKENNA, WAYNE A. | SHAREHOLDER | 4138432 |
| MILLER, BRADFORD ALAN | FINOP | 1934143 |
| NICKELL,GARVIN,B. | SHAREHOLDER | |
| PASCHKE, RANDOLPH CLARE | SHAREHOLDER | 4132848 |
| SAMPSON, KEVIN THOMAS | SHAREHOLDER | 4135874 |
| SHEALEY, WILLIAM RAY | SHAREHOLDER | 4512381 |
| SPIEGEL, HOPE | SHAREHOLDER | 4135875 |
| SUTTER, TIMOTHY NONE | SHAREHOLDER | 4615693 |
| UDD, RODNEY D | SHAREHOLDER | |
| WERNET, MARK EDWARD | SHAREHOLDER | 4405331 |
| WESTERMAN, JOHN EDWARD | SHAREHOLDER | 4136205 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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.
