Joseph A. Schlim
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 Alexander Schlim was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1994. Joseph had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 28, Series 24, Series 27 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2018 - August 13, 2025
LONG NECK SERVICES LLC
December 3, 2012 - December 31, 2013
RISEVEST FINANCIAL SECURITIES LIMITED
November 3, 2010 - November 28, 2012
RISEVEST FINANCIAL SECURITIES LIMITED
June 30, 2000 - February 27, 2009
ALADDIN CAPITAL LLC
October 29, 1997 - May 8, 2000
PERSHING LLC
August 9, 1994 - November 3, 1997
JPMSI
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 28
Date: 8/31/2018
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
LONG NECK SERVICES LLC
CRD#: 297317 / SEC#: , 8-70143
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHLIM, JOSEPH ALEXANDER | MEMBER, CCO, FINOP, CFO, EXEC REP | 2502404 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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