Joseph A. Lynch
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 Aloysius Lynch III was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1988. Joseph had worked at 10 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 4, 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
April 19, 2021 - June 14, 2024
SECURITIES AMERICA, INC.
April 19, 2021 - August 23, 2024
TRIAD ADVISORS LLC
November 25, 2014 - September 1, 2023
OSAIC SERVICES, INC.
November 25, 2014 - November 3, 2023
FSC SECURITIES CORPORATION
November 25, 2014 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
November 25, 2014 - September 6, 2024
OSAIC WEALTH, INC.
October 17, 2013 - August 7, 2014
LPL FINANCIAL LLC
September 27, 2012 - October 16, 2013
SECURITIES SERVICE NETWORK, LLC
March 21, 2012 - October 3, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
November 2, 2011 - October 3, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
December 10, 2009 - October 28, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
March 22, 1988 - July 3, 2006
IDS LIFE INSURANCE COMPANY
March 22, 1988 - October 12, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
