Joseph H. Merback
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 Harry Merback was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1991. Joseph had worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 22 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2017 - August 28, 2018
FINANCIAL WEST GROUP
August 22, 2017 - November 1, 2021
WESTERN INTERNATIONAL SECURITIES, INC.
August 21, 2017 - November 1, 2021
WESTERN INTERNATIONAL SECURITIES, INC.
January 26, 2016 - August 31, 2017
FINANCIAL WEST GROUP
February 18, 2009 - August 31, 2017
FINANCIAL WEST GROUP
February 24, 2005 - February 18, 2009
T.R. WINSTON & COMPANY, LLC
March 23, 2000 - February 16, 2005
WESTERN INTERNATIONAL SECURITIES, INC.
August 18, 1993 - April 12, 2000
C. M. BLAIR, W. O. FOSTER & CO., INC.
August 2, 1991 - September 9, 1993
CAPITAL MANAGEMENT PARTNERS, 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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