Joshua M. Conlin
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.
Joshua Michael Conlin, who also goes by Joshua Michael Conlinpenero, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 1995. Joshua had worked at 7 firms and has passed the Series 63, SIE 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 28, 2011 - September 2, 2015
MCNALLY FINANCIAL SERVICES CORPORATION
September 23, 2005 - January 31, 2011
JHS CAPITAL ADVISORS, LLC
July 13, 2001 - September 23, 2005
STERLING FINANCIAL INVESTMENT GROUP, INC.
March 13, 2001 - July 12, 2001
ROUND HILL SECURITIES, INC.
March 6, 2001 - March 19, 2001
WELLS FARGO SECURITIES INC.
January 22, 1996 - March 13, 2001
UBS FINANCIAL SERVICES INC.
November 2, 1995 - December 13, 1995
INTERFIRST CAPITAL CORPORATION
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
MCNALLY FINANCIAL SERVICES CORPORATION
CRD#: 121196 / SEC#: , 8-65388
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCNALLY, DAVID DORN | CHIEF EXECUTIVE OFFICER; CHIEF COMPLIANCE OFFICER | 839798 |
Regulatory assets under management
| Total Number of Accounts | 142 |
| AUM (Assets Under Management) | $ 25,149,615 |
Disclosures
| Regulatory Event | 5 |
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.
