Joseph Principe
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 Principe, who also goes by Joseph Principi, 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 65, 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
September 7, 2010 - April 28, 2014
JOHN CARRIS INVESTMENTS LLC
November 9, 1999 - September 16, 2010
THINKEQUITY LLC
August 7, 1998 - November 15, 1999
FAIRCHILD FINANCIAL GROUP, INC.
October 23, 1997 - August 7, 1998
LEGEND MERCHANT GROUP, INC.
June 1, 1995 - November 4, 1997
H.J. MEYERS & CO., INC.
February 3, 1995 - June 13, 1995
COMMONWEALTH ASSOCIATES
August 18, 1993 - February 8, 1995
BERKELEY SECURITIES CORPORATION
November 20, 1990 - August 23, 1993
J. GREGORY & COMPANY, INC.
July 30, 1986 - November 23, 1990
THE STUART-JAMES COMPANY, INCORPORATED
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
JOHN CARRIS INVESTMENTS LLC
CRD#: 145767 / SEC#: , 8-67751
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVICTUS CAPITAL INC | HOLDING COMPANY | |
| CARRIS, GEORGE WILLIAM MR. | CEO, COO, CCO | 3079577 |
| CLARK, MICHAEL KEVIN | MANAGING DIRECTOR | |
| NELSON, STEVEN | OWNER |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
