Joseph M. Klasek
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 Mark Klasek, who also goes by Joseph Klasek, Mark Klasek, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1992. Joseph had worked at 5 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2017 - March 1, 2023
MORETON CAPITAL MARKETS, LLC
November 6, 2009 - June 23, 2017
WELLS FARGO SECURITIES, LLC
July 7, 2000 - November 6, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
October 23, 1995 - July 6, 2000
LPL FINANCIAL LLC
July 6, 1992 - October 26, 1995
WALL STREET ACCESS
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
MORETON CAPITAL MARKETS, LLC
CRD#: 132643 / SEC#: , 8-66620
Contact information
FINRA licenses (39 States and Territories)
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.
