Joe D. Davis
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.
Joe David Davis was a registered financial professional .
Joe is a previously registered financial professional and started their career in finance in 1985. Joe had worked at 20 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2019 - March 11, 2020
ALT FUND DISTRIBUTORS LLC
July 18, 2019 - September 24, 2019
OSAIC WEALTH, INC.
May 15, 2017 - July 20, 2017
CION SECURITIES, LLC
March 20, 2015 - April 18, 2017
GRIFFIN CAPITAL SECURITIES, LLC
March 2, 2011 - June 27, 2013
FS INVESTMENT SOLUTIONS, LLC
June 24, 2009 - March 2, 2011
U.S. SELECT SECURITIES LLC
August 9, 2007 - November 4, 2008
TRANSAMERICA CAPITAL, LLC
December 19, 2006 - August 9, 2007
COREBRIDGE CAPITAL SERVICES, INC.
August 9, 2002 - February 16, 2006
WELLS INVESTMENT SECURITIES,INC.
January 13, 2000 - October 25, 2000
IDS LIFE INSURANCE COMPANY
January 13, 2000 - October 25, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
June 17, 1998 - November 13, 2000
DIRECTED SERVICES LLC
January 29, 1998 - May 18, 1998
CAPITAL BROKERAGE CORPORATION
August 18, 1993 - December 7, 1995
SUNAMERICA SECURITIES, INC.
May 17, 1993 - June 11, 1993
H & R BLOCK FINANCIAL CORPORATION
August 29, 1991 - January 11, 1993
LPL FINANCIAL LLC
May 3, 1989 - June 5, 1990
FLAGSHIP FUNDS INC.
March 18, 1987 - October 27, 1988
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
November 21, 1986 - April 15, 1987
CITIGROUP GLOBAL MARKETS INC.
October 9, 1986 - October 14, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
May 28, 1985 - September 12, 1986
FITZGERALD, DEARMAN & ROBERTS, 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
ALT FUND DISTRIBUTORS LLC
CRD#: 146547 / SEC#: , 8-67829
Contact information
FINRA licenses (51 States and Territories)
Documents
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.
