Joseph D. Pichla
Professional summary
Joseph David Pichla JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Joseph had worked at 7 firms, which includes SII INVESTMENTS INC., WOODBURY FINANCIAL SERVICES INC., ONEAMERICA SECURITIES INC., AMERICAN UNITED LIFE INSURANCE COMPANY, JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC., CENTURY INVESTORS OF AMERICA INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 1996 - May 28, 1997
SII INVESTMENTS, INC.
March 10, 1995 - January 16, 1996
WOODBURY FINANCIAL SERVICES, INC.
April 25, 1994 - February 24, 1995
ONEAMERICA SECURITIES, INC.
April 25, 1994 - February 24, 1995
AMERICAN UNITED LIFE INSURANCE COMPANY
July 6, 1993 - April 21, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 6, 1993 - April 21, 1994
SIGNATOR INVESTORS, INC.
February 8, 1993 - July 2, 1993
CENTURY INVESTORS OF AMERICA, INC.
January 20, 1993 - February 11, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 20, 1993 - February 11, 1993
SIGNATOR INVESTORS, 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
Current Firm
SII INVESTMENTS, INC.
CRD#: 2225 / SEC#: 801-54935, 8-13963
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP, COO | 2770565 |
| KINART, TODD MICHAEL | SII PRESIDENT & CEO/DIRECTOR | 2723511 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND SII SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
Red Flags
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