Joseph M. Gatt
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 Michael Gatt, who also goes by Joe Gatt, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1968. Joseph had worked at 14 firms and has passed the Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2017 - December 31, 2021
CETERA WEALTH SERVICES, LLC
May 5, 2009 - November 1, 2017
GIRARD SECURITIES, INC.
October 31, 2005 - May 6, 2009
OSAIC SERVICES, INC.
October 31, 2005 - May 6, 2009
OSAIC SERVICES, INC.
September 28, 1998 - October 31, 2005
SENTRA SECURITIES CORPORATION
February 19, 1992 - October 31, 2005
SENTRA SECURITIES CORPORATION
February 5, 1992 - February 21, 1992
SPELMAN & CO., INC.
May 22, 1991 - January 10, 1992
U.S. SECURITIES CLEARING CORP.
May 11, 1988 - May 22, 1991
ADVANTAGE CAPITAL CORPORATION
January 31, 1982 - May 4, 1988
FIRST AFFILIATED SECURITIES, INC.
March 9, 1981 - July 12, 1982
ENTERPRISE FUND DISTRIBUTORS, INC.
June 25, 1979 - February 12, 1980
INDEPENDENT FINANCIAL PLANNERS CORPORATION
August 25, 1978 - June 29, 1979
E. F. HUTTON & COMPANY INC
January 14, 1976 - September 26, 1978
INTERPACIFIC INVESTORS SERVICES, INC.
July 18, 1975 - October 25, 1978
HIMCO DISTRIBUTION SERVICES COMPANY
December 23, 1968 - April 6, 1976
OPPENHEIMER ASSET MANAGEMENT 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 12/14/1968
Registered Representative ExaminationCurrent Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
