Joseph W. Dews

CRAIG-HALLUM CAPITAL GROUP LLC

San Francisco, CA 94129

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CRD#: 1942136

Professional summary

Joseph Wesley Dews IV, who also goes by Joseph Wesley Dew IV, Joseph Wesley Dews, is a registered financial professional currently at CRAIG-HALLUM CAPITAL GROUP LLC located in San Francisco, California.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1989. Joseph has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joseph Wesley Dew Iv | Joseph Wesley Dews

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 Joseph Wesley Dews IV's CRS (Customer Relationship Summary).

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 29, 2019 - Present

CRAIG-HALLUM CAPITAL GROUP LLC

Office #1: 1808 Wedemeyer Street Suite 130, San Francisco, CA 94129

CRD#: 121395

San Francisco, CA

Past

August 22, 2012 - June 4, 2019

AGC PARTNERS

CRD#: 125958

FOSTER CITY, CA

Past

May 16, 2007 - July 25, 2012

THINKEQUITY LLC

CRD#: 44274

SAN FRANCISCO, CA

Past

April 3, 2001 - May 17, 2007

NEEDHAM & COMPANY, LLC

CRD#: 16360

MENLO PARK, CA

Past

July 9, 1999 - March 2, 2000

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

October 2, 1996 - April 14, 1999

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

July 15, 1994 - January 19, 1995

PUNK, ZIEGEL & COMPANY, L.P.

CRD#: 26174

NEW YORK, NY

Past

April 18, 1989 - January 28, 1992

NEEDHAM & COMPANY, LLC

CRD#: 16360

NEW YORK, NY

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

California
(5/29/2019)

Minnesota
(5/29/2019)

Exams

State Security Law Exam

Series 63

Date: 7/27/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/14/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/6/2008

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

CRAIG-HALLUM CAPITAL GROUP LLC

CRD#: 121395 / SEC#: , 8-65407

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

323 N Washington Ave Suite 300, Minneapolis, MN 55401

Mailing Address

323 N Washington Ave Suite 300, Minneapolis, MN 55401

Phone number

(612) 334-6300

Established

Minnesota since 05/30/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (44 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CRAIG-HALLUM HOLDINGS LLC	SHAREHOLDER
DYER, STEVEN LEE	DIR, CEO	4341538
EMMEL, THOMAS EDMUND	DIR	2728311
HARRIS, KEVIN PATRICK	DIR, PRESIDENT	724657
HARTFIEL, WILLIAM FREDERICK	DIR	2093426
JENSEN, CHRISTOPHER R	CCO	3219762
SONSTEGARD, JEANNIE LOUISE	CFO	1643359
ZAVORAL, JAMES HENRY JR	DIR	2415854

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.

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Firm Stability Insights

Joseph W. Dews

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Wesley Dews IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

AGC PARTNERS

THINKEQUITY LLC

NEEDHAM & COMPANY, LLC

RBC CAPITAL MARKETS, LLC

CIBC WORLD MARKETS CORP.

PUNK, ZIEGEL & COMPANY, L.P.

NEEDHAM & COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/27/2007

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/14/1994

Series 24

Date: 3/6/2008

FINRA

Nasdaq Stock Market

Current Firm

CRAIG-HALLUM CAPITAL GROUP LLC

Contact information

FINRA licenses (44 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CRAIG-HALLUM CAPITAL GROUP LLC

TRUST BUT VERIFY

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