Joseph L. Semprini
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 Leonard Semprini was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1992. Joseph had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 62, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2016 - December 26, 2019
INTE SECURITIES LLC
April 20, 1999 - March 12, 2014
WEDBUSH SECURITIES INC.
December 16, 1998 - April 8, 1999
AMERICAN INCOME SECURITIES
August 3, 1992 - December 10, 1998
INCOME NETWORK COMPANY
June 25, 1992 - July 9, 1992
COUGAR SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 3/10/1999
Corporate Securities Limited Representative ExaminationCurrent Firm
INTE SECURITIES LLC
CRD#: 47107 / SEC#: , 8-51667
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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