Joseph Rudovic
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 Rudovic, who also goes by Joe Rudovic, was a registered financial advisor .
Joseph is a previously registered financial advisor and started their career in finance in 1993. Joseph had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2016 - December 10, 2020
THE WINDMILL GROUP, INC.
May 14, 2013 - December 11, 2014
THE WINDMILL GROUP, INC.
October 24, 2012 - March 13, 2013
NYLIFE SECURITIES LLC
October 17, 2002 - February 14, 2005
OSAIC INSTITUTIONS, INC.
September 18, 2002 - February 14, 2005
OSAIC INSTITUTIONS, INC.
July 26, 2001 - August 12, 2002
BNY INVESTMENT CENTER INC.
October 1, 2000 - July 19, 2001
WELLS FARGO CLEARING SERVICES, LLC
January 1, 1996 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
January 31, 1995 - January 1, 1996
MARKETING ONE SECURITIES, INC.
November 10, 1994 - January 31, 1995
CONSECO SECURITIES, INC.
May 26, 1993 - November 8, 1994
PRUCO SECURITIES, LLC.
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
THE WINDMILL GROUP, INC.
CRD#: 8384 / SEC#: 801-120154, 8-25280
Contact information
Regulatory assets under management
| Total Number of Accounts | 198 |
| AUM (Assets Under Management) | $ 32,101,709 |
Disclosures
| Regulatory Event | 3 |
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.
