Joseph M. O'donnell
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 Michael O'donnell, who also goes by Joseph Michael Odonnel Esq, Joseph Michael Odonnel, Joseph Michael Odonnell, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1988. Joseph had worked at 7 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2011 - April 14, 2016
FORESIDE ASSOCIATES, LLC
November 30, 2004 - April 1, 2011
VOYA INVESTMENTS DISTRIBUTOR, LLC
October 24, 2001 - October 19, 2004
ATLAS SECURITIES, LLC
November 8, 1999 - May 31, 2001
FORESIDE FUNDS DISTRIBUTORS LLC
April 28, 1993 - December 15, 1997
FPS BROKER SERVICES, INC.
August 10, 1990 - March 26, 1993
PROVIDENTMUTUAL FINANCIAL SERVICES, INC.
March 14, 1988 - March 20, 1989
TRIO 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
FORESIDE ASSOCIATES, LLC
CRD#: 13494 / SEC#: , 8-43169
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| BERTHY, RICHARD JOHN MR. | PRESIDENT/TREASURER/MANAGER/DIR | 1341368 |
| CHERN, NANETTE KING | CHIEF COMPLIANCE OFFICER/VP | 1718029 |
| DIVALERIO, JENNIFER KAY | VICE PRESIDENT | 3236826 |
| FAIRBANKS, MARK ALAN | VICE PRESIDENT | 1847318 |
| HOOPES, JENNIFER ELLEN | SECRETARY | 5462575 |
| SOMMERS, WESTON | FINOP | 5290145 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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