Joseph W. Kacergis
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 William Kacergis was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2003. Joseph had worked at 2 firms and has passed the 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
March 16, 2010 - March 26, 2012
HBH ADVISORS, LLC
February 6, 2003 - March 10, 2008
DRESNER 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
Current Firm
HBH ADVISORS, LLC
CRD#: 121464 / SEC#: , 8-65420
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROCK ISLAND CAPITAL, LLC | SOLE MEMBER | |
| HARTMAN, PATRICK WILLIAM | CO-MANAGER | 2501769 |
| MARTIN, PATRICK JAMES | CO-MANAGER/CHIEF COMPLIANCE OFFICER | |
| NUGENT, MICHAEL EDWARD | CHEIF FINANCIAL OFFICER |
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.
