Jose A. Padilla
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.
Jose Antonio Padilla was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 1989. Jose had worked at 8 firms and has passed the Series 63, Series 7, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2008 - August 31, 2009
KAISER AND COMPANY
April 15, 2003 - August 28, 2006
UNITED SECURITIES ALLIANCE, INC.
October 10, 2002 - April 14, 2003
GENEOS WEALTH MANAGEMENT, INC.
September 21, 2001 - October 1, 2002
WESTERN INTERNATIONAL SECURITIES, INC.
December 19, 2000 - June 29, 2001
AUERBACH, POLLAK & RICHARDSON INC.
June 11, 1999 - December 19, 2000
AMERICAN FRONTEER FINANCIAL CORPORATION
June 14, 1996 - April 8, 1999
SCHNEIDER SECURITIES, INC.
April 24, 1996 - June 4, 1996
WESTERN INTERNATIONAL SECURITIES, INC.
April 5, 1989 - May 2, 1994
D.E. FREY & COMPANY, 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
KAISER AND COMPANY
CRD#: 14186 / SEC#: , 8-30295
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
