Joseph M. Araiz
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 Michael Araiz, who also goes by Michael Joseph Araiz, Miguel J. Araiz, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1984. Joseph 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
March 5, 2002 - November 14, 2013
FURTHER LANE SECURITIES, L.P.
November 8, 2001 - July 9, 2002
THE CONCORD EQUITY GROUP, LLC
October 6, 1998 - November 13, 2001
IMPERIAL CAPITAL, LLC
July 24, 1997 - October 22, 1998
LADENBURG THALMANN & CO. INC.
May 31, 1991 - August 6, 1997
M. J. WHITMAN, INC.
February 21, 1989 - August 13, 1991
M J WHITMAN & CO., INC
September 24, 1985 - December 23, 1988
GRUNTAL & CO., L.L.C.
June 26, 1984 - September 10, 1985
FINANCIAL SQUARE PARTNERS
State Registrations and Notice Filings
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Exams
Current Firm
FURTHER LANE SECURITIES, L.P.
CRD#: 38162 / SEC#: , 8-48207
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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