Joseph H. Estes
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 Harrison Estes, who also goes by Joe Estes, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1994. Joseph had worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 9, Series 10 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
March 11, 2020 - April 21, 2023
M&A SECURITIES GROUP, INC.
March 3, 2005 - February 4, 2020
RAYMOND JAMES & ASSOCIATES, INC.
September 10, 2003 - February 23, 2005
J.P. MORGAN SECURITIES INC.
February 14, 2003 - July 28, 2003
SHATTUCK HAMMOND PARTNERS LLC
March 1, 2001 - May 1, 2001
JPMSI
February 1, 2000 - November 4, 2002
J.P. MORGAN SECURITIES INC.
April 22, 1999 - February 1, 2000
HAMBRECHT & QUIST LLC
July 19, 1994 - February 25, 1999
THE ROBINSON-HUMPHREY COMPANY, 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
M&A SECURITIES GROUP, INC.
CRD#: 39999 / SEC#: , 8-48926
Contact information
FINRA licenses (48 States and Territories)
Documents
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.
