Joseph W. Gibson
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 Walter Gibson, who also goes by Joe Gibson, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1985. Joseph had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2012 - February 9, 2015
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
May 17, 2007 - February 19, 2008
EQUITABLE DISTRIBUTORS, LLC
June 1, 2005 - July 9, 2010
EQUITABLE ADVISORS, LLC
November 5, 2003 - June 13, 2005
AVANTAX INVESTMENT SERVICES, INC.
January 3, 2001 - May 28, 2002
EQUITABLE DISTRIBUTORS, LLC
March 27, 2000 - January 12, 2001
EQUITABLE ADVISORS, LLC
September 4, 1998 - March 22, 2000
FIRST UNION BROKERAGE SERVICES, INC.
November 26, 1993 - September 15, 1998
ALLIANCEBERNSTEIN INVESTMENTS, INC.
March 20, 1985 - September 28, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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
Series 8
Date: 4/1/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
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.
