Joseph E. Godfrey
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 E. Godfrey III, who also goes by Joseph Edwin Godfrey III, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1969. Joseph had worked at 12 firms and has passed the Series 65, Series 63, 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
July 15, 2014 - September 17, 2018
ROSS SECURITIES CORPORATION
November 25, 2005 - July 1, 2014
MML INVESTORS SERVICES, LLC
December 12, 2003 - September 29, 2005
WILMINGTON BROKERAGE SERVICES COMPANY
September 10, 2003 - December 4, 2003
OSAIC WEALTH, INC.
July 1, 2002 - September 3, 2003
CAP PRO BROKERAGE SERVICES, INC.
January 10, 2001 - June 28, 2002
THE LEADERS GROUP, INC.
May 3, 1999 - January 18, 2001
PARK AVENUE SECURITIES LLC
March 21, 1994 - February 28, 2000
HSM&R FINANCIAL SERVICES CORPORATION
October 14, 1991 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
January 30, 1984 - October 17, 1991
MONARCH SECURITIES, INC.
August 31, 1979 - October 25, 1983
VP DISTRIBUTORS LLC
November 7, 1969 - March 1, 1976
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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 1
Date: 8/27/1979
Registered Representative ExaminationCurrent Firm
ROSS SECURITIES CORPORATION
CRD#: 113796 / SEC#: , 8-53361
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROSS, NORMAN EDMOND | PRESIDENT, CCO, CUSTODIAN | 2258201 |
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.
