Deborah A. Joseph
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.
Deborah Annmarie Joseph, who also goes by Deborah Annmarie Joseph, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1999. Deborah had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2025 - September 5, 2025
PROFINANCIAL, INC.
May 17, 2023 - September 5, 2025
PROMETHEUM EMBER CAPITAL
July 16, 2021 - September 5, 2025
PROMETHEUM ATS
September 29, 2020 - June 21, 2021
TZERO MARKETS
March 27, 2019 - June 21, 2021
TZERO SECURITIES, LLC
March 27, 2019 - June 21, 2021
SPEEDROUTE LLC
July 13, 2000 - November 8, 2018
BLOOMBERG TRADEBOOK LLC
June 22, 1999 - September 30, 1999
HAPOALIM SECURITIES USA, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PROFINANCIAL, INC.
CRD#: 15345 / SEC#: , 8-32026
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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