Joseph M. East
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 Mercer East, who also goes by J. M. East, J. Mercer East II, Joseph Mercer East Ii, Mike East Ii, Mike East, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1988. Joseph had worked at 14 firms and has passed the Series 66, Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 2013 - June 26, 2014
WADDELL & REED
October 10, 2013 - June 26, 2014
WADDELL & REED
September 3, 2013 - October 1, 2013
W&S BROKERAGE SERVICES, INC.
August 15, 2011 - October 7, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 3, 2010 - March 16, 2011
THRIVENT INVESTMENT MANAGEMENT INC.
January 28, 2010 - March 16, 2011
THRIVENT INVESTMENT MANAGEMENT INC.
November 13, 2007 - February 14, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
October 26, 2007 - February 14, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
August 28, 2006 - September 26, 2006
W&S BROKERAGE SERVICES, INC.
August 23, 2004 - September 14, 2004
UVEST FINANCIAL SERVICES GROUP, INC.
August 29, 2003 - February 17, 2004
SOUTHEAST INVESTMENTS, N.C., INC.
May 17, 2000 - September 26, 2001
SYNERGY INVESTMENT GROUP, LLC
March 9, 1998 - June 9, 1998
MARION BASS SECURITIES CORPORATION
February 14, 1997 - February 9, 1998
MORGAN STANLEY DW INC.
February 5, 1994 - December 14, 1995
METROPOLITAN LIFE INSURANCE COMPANY
January 29, 1992 - March 17, 1992
FSC SECURITIES CORPORATION
May 9, 1990 - October 23, 1990
MSI FINANCIAL SERVICES, INC.
May 1, 1990 - October 23, 1990
METROPOLITAN LIFE INSURANCE COMPANY
February 23, 1988 - April 16, 1990
WACHOVIA 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
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 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.
