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JF

Joseph A. Fague

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CRD#: 2243174
JF

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 Anthony Fague was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1992. Joseph had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 15, 2014 - May 3, 2024

PINEBRIDGE SECURITIES LLC

BD
CRD#: 5967
NEW YORK, NY
Past

October 6, 2006 - March 14, 2014

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

October 3, 2003 - October 6, 2006

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
SAN FRANCISCO, CA
Past

September 25, 2002 - August 5, 2003

STRONG CAPITAL MANAGEMENT INC

RIA
CRD#: 106638
MENOMONEE FALLS, WI
Past

September 25, 2002 - August 5, 2003

STRONG INVESTMENTS, INC.

BD
CRD#: 15658
MENOMONEE FALLS, WI
Past

July 23, 2002 - October 10, 2002

JURIKA & VOYLES LP

RIA
CRD#: 106728
OAKLAND, CA
Past

March 26, 2002 - October 2, 2002

NATIXIS ADVISORS, LLC

RIA
CRD#: 106800
OAKLAND, CA
Past

January 2, 2002 - October 1, 2002

NATIXIS DISTRIBUTION, LLC

BD
CRD#: 34754
BOSTON, MA
Past

October 4, 2001 - December 6, 2001

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

May 10, 1999 - October 4, 2001

FIRST FUND DISTRIBUTORS, INC.

BD
CRD#: 27038
PHOENIX, AZ
Past

July 31, 1993 - May 23, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

June 12, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/1/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/18/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/12/1993
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/10/1992
General Securities Representative Examination

Current Firm

PS
PINEBRIDGE SECURITIES LLC
AIG EQUITY SALES CORP. | PINEBRIDGE SECURITIES LLC | AMERICAN INTERNATIONAL FUND DISTRIBUTORS, INC.

CRD#: 5967 / SEC#: , 8-16586

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
65 East 55th Street Park Avenue Tower, New York, NY 10022
Mailing Address
65 East 55th Street Park Avenue Tower, New York, NY 10022
Phone number
(646) 857-8132
Established
Delaware since 10/01/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PINEBRIDGE INVESTMENTS HOLDINGS US LLCSHAREHOLDER
KARPIK, MICHAEL JOHNDIRECTOR1709305
MORELLI, BRIAN RCHIEF COMPLIANCE OFFICER7366072
RAMIREZ, SERGIO DANIELDIRECTOR AND PRESIDENT4637204
RUSSO, WILLIAMTREASURER6239019

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.

Company Information

PINEBRIDGE SECURITIES LLC

CRD#: 5967

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