Joanne Veth
Professional summary
Joanne Veth, who also goes by Joanne L Rosenberg, Joanne Leslie Rosenberg, Joanne Rosenberg, Joanne L Veth, Joanne Leslie Veth, Joanne Veth, is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in Iselin, New Jersey.
Joanne is registered as a RR (Registered Representative) and started their career in finance in 1988. Joanne has worked at 10 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 57TO, Series 72, SIE, Series 55, Series 7, Series 10, Series 9, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joanne Veth's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 25, 2018 - Present
WELLS FARGO SECURITIES, LLC
Office #1: 194 S Wood Ave, Iselin, NJ 08830February 2, 2016 - April 3, 2018
MORGAN STANLEY & CO. LLC
July 15, 2014 - January 29, 2016
HSBC SECURITIES (USA) INC.
October 1, 2008 - March 19, 2014
J.P. MORGAN SECURITIES LLC
March 28, 2007 - October 1, 2008
J.P. MORGAN SECURITIES INC.
December 1, 2005 - April 3, 2007
DEUTSCHE BANK SECURITIES INC.
July 13, 2001 - November 16, 2005
J.P. MORGAN SECURITIES INC.
January 24, 2001 - July 11, 2001
CITIGROUP GLOBAL MARKETS INC.
May 8, 1996 - July 5, 2001
PRUDENTIAL EQUITY GROUP, LLC
January 20, 1996 - April 29, 1996
UBS FINANCIAL SERVICES INC.
February 17, 1995 - October 5, 1995
J.P. MORGAN CLEARING CORP.
February 6, 1995 - October 5, 1995
J.P. MORGAN SECURITIES LLC
June 10, 1991 - February 6, 1995
PRUDENTIAL EQUITY GROUP, LLC
December 13, 1988 - January 24, 1990
J.P. MORGAN SECURITIES 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
(4/25/2018)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 55
Date: 12/17/2010
Limited Representative-Equity Trader ExamSeries 8
Date: 9/17/1991
General Securities Sales Supervisor Examination (Options Module & General Module)24X National Exchange LLC
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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