Maurice C. Bartholomay
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.
Maurice Charles Bartholomay was a registered financial professional .
Maurice is a previously registered financial professional and started their career in finance in 1990. Maurice had worked at 10 firms and has passed the 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
August 9, 1994 - December 23, 1994
JOSEPHTHAL & CO., INC.
May 6, 1994 - August 8, 1994
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
April 28, 1994 - March 19, 1996
WALL STREET FINANCIAL GROUP, INC.
January 19, 1993 - April 11, 1994
SCHNEIDER SECURITIES, INC.
January 18, 1993 - January 28, 1993
INVESTORS ASSOCIATES, INC.
May 11, 1992 - January 1, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 2, 1992 - April 29, 1992
METROPOLITAN LIFE INSURANCE COMPANY
January 2, 1992 - April 29, 1992
MSI FINANCIAL SERVICES, INC.
June 28, 1990 - April 10, 1991
H.J. MEYERS & CO., INC.
April 24, 1990 - July 16, 1990
MORGAN STANLEY DW 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
JOSEPHTHAL & CO., INC.
CRD#: 3227 / SEC#: , 8-5651
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOSEPHTHAL CAPITAL GROUP, INC. | PARENT | |
| AGOSTA, SALVATORE FRANK | CHIEF FINANCIAL OFFICER | 1253738 |
| FICHTNER, HENRY ARTHUR | NATIONAL MANAGER-RETAIL DIVISION-VICE PRESIDENT | 1327009 |
| FITZGERALD, PAUL HENRY | CEO - CHAIRMAN - PRESIDENT - CHIEF OPERATING OFFICER - DIRECTOR | 812775 |
| HURLEY, KEVIN BRADY | COMPLIANCE DIRECTOR | 1293748 |
| KRONENBERG, DAVID HIRSCH | CHIEF ADMINISTRATIVE OFFICER | 1799665 |
| MATYCKAS, EDWARD STANLEY | CROP/SROP | 1405961 |
| MCCABE, DONALD GERARD | GENERAL COUNSEL - REGULATION & LITIGATION - ASSISTANT SECRETARY | 1367480 |
| MCNAMARA, DENNIS PATRICK | GENERAL COUNSEL - CORPORATE-VICE PRESIDENT | 2938486 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 12 |
Red Flags
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