Joseph P. Gillis
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 Patrick Gillis 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, Series 55, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2012 - June 5, 2013
WINTERFLOOD SECURITIES INCORPORATED
April 22, 2005 - February 24, 2012
UBS SECURITIES LLC
April 4, 2003 - February 15, 2006
UBS CAPITAL MARKETS L.P.
August 8, 1995 - April 10, 2003
CHARLES SCHWAB & CO., INC.
September 19, 1994 - February 13, 1995
H.J. MEYERS & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 10/8/2002
Limited Representative-Equity Trader ExamSeries 8
Date: 3/20/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WINTERFLOOD SECURITIES INCORPORATED
CRD#: 156960 / SEC#: , 8-68827
Contact information
Documents
Red Flags
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