Joseph A. Vargo
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 Anthony Vargo, who also goes by Joe Vargo, Joseph A Vargo, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1986. Joseph had worked at 3 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 1990 - August 20, 1998
THE ADVISORS GROUP, INC.
March 12, 1987 - December 18, 1990
1717 CAPITAL MANAGEMENT COMPANY
October 17, 1986 - February 10, 1987
NYLIFE SECURITIES LLC
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
THE ADVISORS GROUP, INC.
CRD#: 14035 / SEC#: , 8-28461
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMAL CORPORATION | 100% OWNER OF THE ADVISORS GROUP, INC. | |
| ARITURK, HALUK | DIRECTOR | 1149006 |
| BARRY, MICHELLE ANNE | VICE PRESIDENT, ADVISORY SERVICES | 2744539 |
| GLAZER, DAVID ANDREW | REGIONAL VICE PRESIDENT | 1149058 |
| HARVEY, JAMES EDWARD | HONORARY DIRECTOR | 4424791 |
| HEILMAN, CHERYL LYNN | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 2114445 |
| HITCHCOCKGEAR, SALENE MARIE | PRESIDENT/CHIEF EXECUTIVE OFFICER | 2590328 |
| NASON, CHARLES TUCKEY | CHAIRMAN OF BOARD OF DIRECTORS | 345075 |
| OSS, STEVEN MICHAEL | FINOP | 4696804 |
| OWENS, BRIAN JOHN | HONORARY DIRECTOR | 354641 |
| SANDS, ROBERT JOHN HAMILTON | DIRECTOR | 1107457 |
| SNYDER, REX BALES | VICE PRESIDENT, CHIEF SUPERVISORY OFFICER | 1061633 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
