Joshua E. Dughi
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.
Joshua Edward Dughi was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 1986. Joshua had worked at 16 firms and has passed the Series 63, Series 7, Series 6, Series 4 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 10, 1998 - March 11, 1999
ZA ASSOCIATES, INC.
April 10, 1997 - August 7, 1998
MJK CLEARING, INC.
September 3, 1996 - April 30, 1997
SAN CLEMENTE SECURITIES, INC.
December 21, 1994 - August 9, 1996
ANDREW GARRETT INC.
February 18, 1994 - December 20, 1994
SIGNAL SECURITIES, INC.
January 5, 1993 - March 8, 1994
RHODES SECURITIES, INC.
July 30, 1992 - January 11, 1993
ROBERT SCOTT SECURITIES, INC.
May 13, 1992 - March 7, 1995
M.C. FINANCIAL CORPORATION
March 12, 1992 - July 10, 1992
GOLDEN SHAMROCK, INC.
October 26, 1990 - February 25, 1992
AMERIPRISE ADVISOR SERVICES, INC.
August 8, 1990 - October 10, 1990
SAN MARINO SECURITIES, INC.
September 25, 1989 - May 22, 1990
CHOICE INVESTMENTS, INC.
July 21, 1989 - October 9, 1989
CAMBRIDGE-NEWPORT COMPANY, INC.
August 26, 1988 - August 7, 1989
MARSHALL DAVIS, INC.
March 2, 1988 - September 6, 1988
BLINDER, ROBINSON & CO., INC.
October 13, 1986 - January 1, 1987
FORESTERS FINANCIAL SERVICES, 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
ZA ASSOCIATES, INC.
CRD#: 7850 / SEC#: , 8-23323
Contact information
Documents
Disclosures
| Regulatory Event | 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.
