Joseph F. Hunter
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 Francis Hunter was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1993. Joseph had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 8, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2017 - March 22, 2019
EQIS SECURITIES, LLC
July 15, 2015 - March 3, 2017
FSIC
April 26, 2012 - May 5, 2014
CURIAN CLEARING, LLC
July 21, 2005 - February 1, 2012
NATIONAL FINANCIAL SERVICES LLC
July 12, 1999 - March 9, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 1, 1998 - July 12, 1999
BA INVESTMENT SERVICES, INC.
June 10, 1993 - July 1, 1998
SEAFIRST INVESTMENT SERVICES, 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
Series 8
Date: 5/22/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EQIS SECURITIES, LLC
CRD#: 20633 / SEC#: , 8-38369
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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