Jose A. Cardenas

INVESTMENT DISTRIBUTORS

Covington, KY 41011

Some features on this profile are disabled

CRD#: 1912247

Professional summary

Jose Alberto Cardenas is a registered financial professional currently at INVESTMENT DISTRIBUTORS, INC. located in Covington, Kentucky.

Jose is registered as a RR (Registered Representative) and started their career in finance in 1989. Jose has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jose Alberto Cardenas's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 6, 2024 - Present

INVESTMENT DISTRIBUTORS, INC.

Office #1: 50 E Rivercenter Blvd Suite 1600, Covington, KY 41011

CRD#: 35490

Covington, KY

Past

June 30, 2004 - April 8, 2024

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

January 1, 2002 - September 16, 2003

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

August 13, 2001 - January 1, 2002

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

March 12, 1999 - April 3, 2000

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

May 3, 1996 - October 1, 1997

PHOENIX FINANCIAL SERVICES CORP

CRD#: 36889

NEW YORK, NY

Past

May 2, 1991 - December 1, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 23, 1989 - June 7, 1990

CROWELL, WEEDON & CO.

CRD#: 193

LOS ANGELES, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(5/6/2024)

Nevada
(5/9/2024)

New Mexico
(5/13/2024)

Exams

State Security Law Exam

Series 63

Date: 12/3/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/20/1989

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

INVESTMENT DISTRIBUTORS, INC.

CRD#: 35490 / SEC#: , 8-46802

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2801 Highway 280 South, Birmingham, AL 35223

Mailing Address

2801 Highway 280 South, Birmingham, AL 35223

Phone number

(205) 868-3073

Established

Tennessee since 08/30/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
PROTECTIVE LIFE CORPORATION	PARENT COMPANY
CARLSON, MARTHA L	DESIGNATED RESPONSIBLE LICENSED PRODUCER	2731502
COFFMAN, BENJAMIN PAUL	CHIEF FINANCIAL OFFICER	6738662
COLLAZO, KIMBERLY	ASSISTANT SECRETARY	8075061
CREUTZMANN, SCOTT EMIL	DIRECTOR	5351383
LANE, JAMIE LAURA	DIRECTOR	5779720
LEE, FELICIA MALLOCH	SECRETARY	7498538
MCCRELESS, KEVIN LUCIUS	CHIEF COMPLIANCE OFFICER	5180100
MORSCH, LETITIA A	DIRECTOR & ASSISTANT SECRETARY	5133531
TENNENT, RAYBURN EDWARD	SR ANALYST FINANCIAL REPORTING	6245099
WAGNER, JAMES CARL JR	PRESIDENT & DIRECTOR	4261922

Disclosures

Regulatory Event

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.

Similar Advisors

Jamie Powell

CAPITAL ADVISORY SERVICES, LLC

IAR

West Chester, OH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jose A. Cardenas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jose Alberto Cardenas's CRS (Customer Relationship Summary).

Certified licenses

Experience

LINCOLN FINANCIAL DISTRIBUTORS, INC.

SIGNATOR INVESTORS, INC.

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CAPITAL BROKERAGE CORPORATION

PHOENIX FINANCIAL SERVICES CORP

UBS FINANCIAL SERVICES INC.

CROWELL, WEEDON & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/3/1991

SIE

Date: 10/1/2018

Series 7

Date: 5/20/1989

FINRA

Current Firm

INVESTMENT DISTRIBUTORS, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INVESTMENT DISTRIBUTORS, INC.

TRUST BUT VERIFY

Similar Advisors