Joseph C. Lunkes
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 Charles Lunkes, who also goes by Joseph C Lunkes, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1995. Joseph had worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2011 - December 23, 2024
HOULIHAN CAPITAL, LLC
August 14, 2008 - September 27, 2011
HS & CO., INC.
March 17, 2006 - May 5, 2008
MCGLADREY CAPITAL MARKETS, LLC
June 17, 1998 - February 20, 2002
DRESNER INVESTMENT SERVICES, INC.
December 12, 1995 - July 2, 1997
WELLS FARGO CLEARING SERVICES, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
HOULIHAN CAPITAL, LLC
CRD#: 156028 / SEC#: , 8-68762
Contact information
FINRA licenses (10 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
