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Joseph Arthur Schenk

CRD# 1474995·Registered 1986 - 2012
Previously Registered: Being a previously registered professional could mean that Joseph 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.

Professional Summary

Joseph Arthur Schenk was a registered financial advisor. Joseph was a previously registered financial professional and started their career in finance 1986 - 2012. Joseph had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

MPS FIXED INCOME LLC·CRD# 154096
BD
New York, NY
July 7, 2011 - August 1, 2012
MPS GLOBAL SECURITIES, LLC·CRD# 148689
BD
New York, NY
March 22, 2010 - September 24, 2012
FIRST NEW YORK SECURITIES L.L.C.·CRD# 16362
BD
New York, NY
April 2, 2009 - July 31, 2012
PALI CAPITAL, INC.·CRD# 117783
BD
New York, NY
June 23, 2008 - April 17, 2009
JEFFERIES LLC·CRD# 2347
BD
New York, NY
September 23, 1997 - January 24, 2008
JEFFERIES LLC·CRD# 2347
BD
New York, NY
October 1, 1993 - February 1, 1996
ZIMBALIST SMITH INVESTMENTS, LLC·CRD# 13053
BD
August 23, 1988 - April 3, 1992
ZIMBALIST SMITH INVESTMENTS, LLC·CRD# 13053
BD
Bend, OR
August 4, 1986 - April 3, 1992
KEOGLER, MORGAN & COMPANY, INC.·CRD# 16546
BD
March 19, 1986 - April 9, 1986

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Current Firm

MF
MPS FIXED INCOME LLC

MPS FIXED INCOME LLC | MPS FIXED INCOME, LLC

CRD#: 154096 / SEC#: 8-68607
BD
Terminated by SEC on 12/24/2012

Contact Information

Established

Delaware since 04/15/2010

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
FNY CAPITAL MANAGMENT LPOWNER—
DICKERSON, ELIZABETH ANNECHIEF COMPLIANCE OFFICER1917497
DONINO, THOMAS FRANCISCHEIF EXECUTIVE OFFICER1222347
PETERSON, CHARLES RODRICKFINOP/CFO2746442
SUFIAN, HARRIS IANGENERAL COUNSEL1498124

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1993About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1986About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed May 1999About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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