Joseph Simone
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 Simone JR was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1994. Joseph had worked at 4 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
January 11, 1999 - September 16, 1999
DIRKS & COMPANY, INC.
February 12, 1997 - March 27, 1997
A.S. GOLDMEN & CO., INC.
November 4, 1996 - February 27, 1997
THE BOSTON GROUP
August 21, 1996 - November 13, 1996
PARAGON CAPITAL MARKETS, INC.
November 25, 1994 - August 22, 1996
A.S. GOLDMEN & CO., 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
DIRKS & COMPANY, INC.
CRD#: 42185 / SEC#: , 8-49735
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIRKS, JESSY LILLY | CEO | 711347 |
| LOPEZ, DIEGO | OTC TRADER CROP./SROP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
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.
