Joseph W. Padden
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 William Padden, who also goes by Joe Padden, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 15 firms and has passed the 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
July 12, 2012 - December 31, 2013
ESSEX SECURITIES LLC
July 13, 2009 - July 5, 2012
AMERITAS INVESTMENT COMPANY, LLC
January 17, 2006 - June 26, 2007
GUNNALLEN FINANCIAL, INC
October 7, 2005 - January 17, 2006
OSAIC WEALTH, INC.
January 16, 2002 - October 11, 2005
NEWBRIDGE SECURITIES CORPORATION
December 16, 1994 - January 23, 2002
PREFERRED SECURITIES GROUP, INC.
October 13, 1992 - January 25, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 13, 1992 - January 25, 1995
SIGNATOR INVESTORS, INC.
August 27, 1991 - September 29, 1992
COMPULIFE INVESTOR SERVICES, INC.
January 21, 1991 - September 4, 1991
WILLIAMS SECURITIES GROUP, INC.
December 19, 1990 - January 29, 1991
FIVE X SECURITIES, LLC
November 9, 1988 - November 23, 1990
REMINGTON SECURITIES, INC.
August 9, 1988 - November 15, 1988
ELLMAN & HOWE SECURITIES
December 1, 1987 - July 23, 1988
HAMILTON, WILLIAMS & CO., INC.
October 20, 1987 - November 24, 1987
BROWNSTONE-SMITH SECURITIES CORP.
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
ESSEX SECURITIES LLC
CRD#: 46605 / SEC#: , 8-51472
Contact information
FINRA licenses (38 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
