Joseph D. Gahtan
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 David Gahtan was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1974. Joseph had worked at 9 firms and has passed the Series 63, Series 5, Series 000, Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2012 - June 18, 2014
CIBC WORLD MARKETS CORP.
February 24, 2011 - December 2, 2011
MF GLOBAL INC.
October 1, 2008 - February 25, 2011
J.P. MORGAN SECURITIES LLC
May 1, 2001 - October 1, 2008
J.P. MORGAN SECURITIES INC.
January 7, 1998 - May 1, 2001
JPMSI
February 6, 1980 - January 5, 1998
SALOMON BROTHERS INC.
March 10, 1978 - March 1, 1980
PERSHING LLC
February 24, 1978 - March 10, 1978
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
February 5, 1974 - February 24, 1978
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/21/1981
Interest Rate Options ExaminationSeries 000
Date: 1/31/1974
General Securities Principal ExaminationSeries 1
Date: 1/31/1974
Registered Representative ExaminationCurrent Firm
CIBC WORLD MARKETS CORP.
CRD#: 630 / SEC#: , 8-18333
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIBC INC. | 100% SHAREHOLDER | |
| CONSOLA, PATRICK D | CHIEF COMPLIANCE OFFICER | 1133831 |
| DUBCZAK, ROMAN STEPAN | DIRECTOR | 5511542 |
| GRIFFITH, MARVIN SCOTT | PRINCIPAL FINANCIAL OFFICER | 1670889 |
| PERRY, ACHILLES M | GENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR | 4183476 |
| PRICE, ERIC S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 1985843 |
| TRABOULSI, ALFRED | MANAGING DIRECTOR, HEAD US INVESTMENT BANKING | 6594715 |
| ZELLERMAYER, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1662785 |
Disclosures
| Regulatory Event | 76 |
| Arbitration | 86 |
Red Flags
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