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JR

Joseph Reda

DAWSON JAMES SECURITIES
BOCA RATON, FL 33431
Some features on this profile are disabled
CRD#: 2373567
JR

Professional summary

Joseph Reda is a registered financial professional currently at DAWSON JAMES SECURITIES, INC. located in Boca Raton, Florida.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1994. Joseph has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Reda's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 21, 2021 - Present

DAWSON JAMES SECURITIES, INC.

Office #1: 2700 N. Military Trail Suite 100, Boca Raton, FL 33431
BD
CRD#: 130645
BOCA RATON, FL
Past

May 22, 2019 - March 26, 2021

BRADLEY WOODS & CO. LTD.

BD
CRD#: 13660
New York, NY
Past

March 17, 2008 - May 21, 2019

CHARDAN CAPITAL MARKETS LLC

BD
CRD#: 120128
NEW YORK, NY
Past

April 9, 2002 - March 4, 2008

CANACCORD GENUITY SECURITIES LLC

BD
CRD#: 24790
NEW YORK, NY
Past

September 25, 1998 - April 11, 2002

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

January 18, 1996 - September 25, 1998

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

August 22, 1995 - February 12, 1996

AMERICORP SECURITIES, INC.

BD
CRD#: 30405
NEW YORK, NY
Past

November 10, 1994 - September 14, 1995

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(3/21/2021)
RR
California
(3/21/2021)
RR
Colorado
(4/19/2021)
RR
Connecticut
(3/22/2021)
RR
Delaware
(5/21/2021)
RR
Florida
(4/21/2021)
RR
Illinois
(5/4/2021)
RR
Maine
(3/22/2021)
RR
Maryland
(3/22/2021)
RR
Michigan
(4/13/2021)
RR
Nevada
(5/12/2021)
RR
New Jersey
(4/19/2021)
RR
New York
(3/21/2021)
RR
North Carolina
(3/22/2021)
RR
Oklahoma
(3/21/2021)
RR
Pennsylvania
(3/21/2021)
RR
South Carolina
(6/22/2021)
RR
Texas
(4/19/2021)
RR
Utah
(3/23/2021)
RR
Wisconsin
(3/21/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 11/18/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/9/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/29/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

DJ
DAWSON JAMES SECURITIES, INC.
DAWSON JAMES SECURITIES, INC.

CRD#: 130645 / SEC#: , 8-66367

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
2700 N. Military Trail Suite 100, Boca Raton, FL 33431
Mailing Address
2700 N. Military Trail Suite 100, Boca Raton, FL 33431
Phone number
(561) 391-5555
Established
Florida since 07/30/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARK FINANCIAL SERVICES, INC.OWNER
DORFMAN, JENNIFERCHIEF COMPLIANCE OFFICER/AML COMPLIANCE OFFICER3009328
KEYSER, ROBERT DAWSON JR.CEO1291503
STICE, HAROLD EUGENECHIEF FINANCIAL OFFICER/FINOP1349210

Disclosures

Regulatory Event12
Civil Event1
Arbitration3

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.

Company Information

DAWSON JAMES SECURITIES, INC.

CRD#: 130645Boca Raton, FL 33431

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