Joseph P. Klock
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 Patrick Klock was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1985. 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
February 25, 2002 - December 31, 2005
BOLTON GLOBAL CAPITAL
November 7, 2001 - February 22, 2002
AMERICAN INVESTMENT SERVICES, INC.
January 11, 1995 - July 14, 1995
LPL FINANCIAL LLC
September 27, 1994 - January 20, 1995
ROBERT THOMAS SECURITIES, INC
July 22, 1994 - October 26, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 24, 1988 - August 4, 1994
HIBBARD BROWN & CO., INC.
August 7, 1987 - May 28, 1988
SHERWOOD CAPITAL, INC.
February 21, 1985 - August 15, 1987
FIRST JERSEY SECURITIES, 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
BOLTON GLOBAL CAPITAL
CRD#: 15650 / SEC#: , 8-33222
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRENIER, RAYMOND GERARD | CHAIRMAN OF THE BOARD | 1404159 |
| BEALS, MATTHEW GEORGE | PRESIDENT AND CHIEF OPERATING OFFICER | 5157251 |
| CATALDO, JOHN GENNARO | CHIEF ADMINISTRATIVE AND LEGAL OFFICER | 5707721 |
| MAHLE, DAPHNE JANE | CHIEF COMPLIANCE OFFICER | 4367277 |
| PRESKENIS, STEVEN CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 4410822 |
| TARPEY, STEVEN R | CHIEF FINANCIAL OFFICER | 6640625 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
| Bond | 4 |
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.
