Joseph Contino
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 Contino, who also goes by Joe Contino, Joseph None Contino, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1986. Joseph had worked at 9 firms and has passed the Series 63, Series 7, Series 8 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
May 3, 2021 - January 2, 2024
DOPKINS WEALTH MANAGEMENT, LLC
March 29, 1994 - November 10, 2008
CHARLES SCHWAB & CO., INC.
December 1, 1993 - April 8, 1994
ROBERT THOMAS SECURITIES, INC
June 24, 1993 - November 5, 1993
CAPITAL INVESTMENT GROUP, INC.
October 25, 1991 - February 9, 1993
AMERIPRISE ADVISOR SERVICES, INC.
August 5, 1991 - October 29, 1991
CITICORP FINANCIAL SERVICES,INC.
June 6, 1991 - October 23, 1991
CITICORP INVESTMENT SERVICES
July 7, 1988 - May 31, 1991
AMERIPRISE ADVISOR SERVICES, INC.
January 5, 1988 - May 13, 1988
UBS FINANCIAL SERVICES INC.
February 19, 1986 - February 6, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
DOPKINS WEALTH MANAGEMENT, LLC
CRD#: 124209 / SEC#: 801-61818
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: 1/27/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DOPKINS WEALTH MANAGEMENT, LLC
CRD#: 124209 / SEC#: 801-61818
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 741 |
| AUM (Assets Under Management) | $ 645,557,984 |
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.
