Scalla S. Joe
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.
Scalla Seongsoon Joe, who also goes by Scalla Seong Soon Joe, Seong S Joe, Seong Soon Joe, was a registered financial professional .
Scalla is a previously registered financial professional and started their career in finance in 1993. Scalla had worked at 8 firms and has passed the Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2013 - September 10, 2014
SH INVESTMENT & SECURITIES
May 23, 2012 - November 20, 2012
ACE DIVERSIFIED CAPITAL, INC.
August 4, 2008 - December 8, 2009
PRIVATE ASSET GROUP, INC.
March 21, 2007 - August 1, 2008
AFA FINANCIAL GROUP, LLC
March 1, 2007 - March 23, 2007
OSAIC WEALTH, INC.
April 4, 1997 - March 1, 2007
UNITED SECURITIES ALLIANCE, INC.
November 17, 1993 - March 17, 1997
PFS INVESTMENTS INC.
August 20, 1993 - October 11, 1993
TRANSAMERICA FINANCIAL ADVISORS, 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
SH INVESTMENT & SECURITIES
CRD#: 123074 / SEC#: , 8-65562
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
