Joseph L. Cotter
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 Leigh Cotter was a registered financial advisor .
Joseph is a previously registered financial advisor and started their career in finance in 1984. Joseph had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 51 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2016 - May 10, 2017
PETERSEN INVESTMENTS, INC.
June 27, 2008 - March 21, 2016
NEXT FINANCIAL GROUP, INC.
April 4, 2006 - June 30, 2008
AMUNI FINANCIAL, INC.
August 16, 2001 - March 27, 2006
SCOTT & STRINGFELLOW, LLC
May 26, 2000 - March 27, 2006
SCOTT & STRINGFELLOW, LLC
February 14, 1996 - June 5, 2000
WACHOVIA SECURITIES, INC.
April 16, 1992 - February 27, 1996
PRUDENTIAL EQUITY GROUP, LLC
April 26, 1988 - April 10, 1992
UBS FINANCIAL SERVICES INC.
May 30, 1984 - June 21, 1988
MORGAN STANLEY DW 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
PETERSEN INVESTMENTS, INC.
CRD#: 38537 / SEC#: , 8-48306
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
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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