Joseph S. Weingarten
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 Sidney Weingarten was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1993. Joseph had worked at 6 firms and has passed the Series 65, Series 63 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
February 10, 2014 - April 26, 2016
BTC CAPITAL PARTNERS
August 27, 2001 - June 3, 2004
NOMURA SECURITIES INTERNATIONAL, INC.
April 30, 2001 - August 30, 2001
ING FINANCIAL MARKETS LLC
April 14, 2000 - April 30, 2001
ABN AMRO SECURITIES LLC
November 6, 1995 - December 16, 1996
ING BARING (U.S.) SECURITIES, INC.
September 2, 1993 - November 6, 1995
INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
BTC CAPITAL PARTNERS
CRD#: 159654 / SEC#:
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Connecticut | ERA - Active | 5/25/2016 |
Red Flags
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