Joseph F. Dargan
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 Francis Dargan was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1999. Joseph had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 4 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
May 5, 2015 - January 5, 2016
TOURMALINE PARTNERS, LLC
July 22, 2013 - January 8, 2015
NOMURA SECURITIES INTERNATIONAL, INC.
December 18, 2007 - June 1, 2009
HUDSON SECURITIES,INC.
February 28, 2005 - December 31, 2005
E*TRADE CLEARING LLC
February 28, 2005 - December 19, 2007
G1 EXECUTION SERVICES, LLC
February 3, 2005 - March 8, 2005
E*TRADE SECURITIES LLC
March 4, 2004 - November 10, 2004
UBS CAPITAL MARKETS L.P.
August 6, 2003 - June 2, 2004
SOUNDVIEW TECHNOLOGY CORPORATION
September 24, 1999 - December 11, 2002
LEHMAN BROTHERS 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 55
Date: 7/22/2013
Limited Representative-Equity Trader ExamCurrent Firm
TOURMALINE PARTNERS, LLC
CRD#: 154492 / SEC#: , 8-68644
Contact information
FINRA licenses (33 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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