Joseph J. Asta
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.
Joseph James Asta III, who also goes by Joseph James Asta Jr, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1990. Joseph had worked at 14 firms and has passed the Series 66, Series 63, SIE 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
June 30, 2010 - February 11, 2015
PENATES GROUP, INC.
October 11, 2007 - March 15, 2010
LPL FINANCIAL LLC
October 10, 2007 - March 15, 2010
LPL FINANCIAL LLC
June 14, 2007 - October 9, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
June 1, 2007 - October 9, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
April 3, 2007 - May 8, 2007
UNIFIED WEALTH MANAGEMENT, LLC
March 21, 2007 - May 15, 2007
GUNNALLEN FINANCIAL, INC
March 7, 2007 - May 15, 2007
GUNNALLEN FINANCIAL, INC
March 14, 2005 - March 27, 2007
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
March 1, 2005 - March 27, 2007
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
October 6, 2004 - March 28, 2005
FOX ADVISOR GROUP
June 7, 2004 - December 31, 2005
GEB FINANCIAL SERVICES GROUP, LLC
March 2, 2004 - March 22, 2005
FOX & COMPANY INVESTMENTS INC.
November 9, 1998 - March 4, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 10, 1994 - November 11, 1998
FOX & COMPANY INVESTMENTS INC.
January 3, 1994 - August 19, 1994
SECURITIES AMERICA, INC.
July 15, 1991 - January 26, 1994
ROBERT W. BAIRD & CO. INCORPORATED
July 15, 1991 - January 26, 1994
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 13, 1990 - April 18, 1991
ADVANTAGE CAPITAL CORPORATION
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
PENATES GROUP, INC.
CRD#: 44266 / SEC#: , 8-50594
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OBRIEN, JOHN PATRICK | PRESIDENT AND CEO, CHIEF COMPLIANCE OFFICER | 2637870 |
Disclosures
| Regulatory Event | 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.
