Joseph E. Gargan
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 Edward Gargan, who also goes by Joe Gargan, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2015 - October 29, 2019
CAPFI PARTNERS LLC
June 1, 2011 - June 7, 2013
MARWOOD GROUP
May 4, 2009 - January 19, 2011
MESIROW FINANCIAL, INC.
February 15, 2006 - February 5, 2009
MESIROW FINANCIAL, INC.
October 19, 2004 - December 2, 2005
FINANCIAL WEST GROUP
May 2, 2000 - September 9, 2003
NEAR NORTH NATIONAL FINANCIAL SERVICES, INC.
January 21, 1987 - December 31, 1991
TUCKER ANTHONY 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
CAPFI PARTNERS LLC
CRD#: 113795 / SEC#: , 8-53406
Contact information
Disclosures
| Regulatory Event | 3 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| New York | ERA - Withdrawn - Failed to Renew | 12/31/2024 |
| Virginia | ERA - Withdrawn - Failed to Renew | 12/31/2024 |
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.
