Joe R. Cotton
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.
Joe Robert Cotton was a registered financial professional .
Joe is a previously registered financial professional and started their career in finance in 1987. Joe had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 22, Series 53 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
February 23, 2018 - December 31, 2020
NATIONAL SECURITIES CORPORATION
May 7, 2014 - February 24, 2018
VFINANCE INVESTMENTS, INC
October 25, 2004 - May 12, 2014
ADVISORS ASSET MANAGEMENT, INC.
January 29, 2001 - May 12, 2014
ADVISORS ASSET MANAGEMENT, INC.
November 20, 1998 - December 31, 2000
STIFEL INDEPENDENT ADVISORS, LLC
January 5, 1998 - October 2, 1998
ECKARD INVESTMENT SERVICES, INC.
April 9, 1991 - December 31, 1997
ECKARD INVESTMENT SERVICES, INC.
October 4, 1989 - June 12, 1990
TRADEPORTAL SECURITIES, INC.
December 3, 1987 - August 27, 1988
SUNSET SECURITIES,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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
