Joseph T. Pultz

GENEVA STOCK, L.L.C.

Gurnee, IL 60031

Some features on this profile are disabled

CRD#: 2631238

Professional summary

Joseph Thomas Pultz is a registered financial professional currently at GENEVA STOCK, L.L.C. located in Gurnee, Illinois.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2011. Joseph has worked at 2 firms and has passed the Series 57TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Thomas Pultz's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 14, 2014 - Present

GENEVA STOCK, L.L.C.

Office #1: 4973 Boulders Drive, Gurnee, IL 60031

CRD#: 104435

Gurnee, IL

Past

January 7, 2011 - December 2, 2013

GENEVA TRADING LLC

CRD#: 100740

CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

Current Firm

GENEVA STOCK, L.L.C.

CRD#: 104435 / SEC#: , 8-52903

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

4973 Boulders Drive, Gurnee, IL 60031

Mailing Address

4973 Boulders Drive, Gurnee, IL 60031

Phone number

(773) 677-3268

Established

Illinois since 09/07/2000

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
GENEVA DERIVATIVES TRADING CORP	MANAGING MEMBER
SILVERMAN, GARY ROBERT	MANAGER/TP	2346095
WILLIAMS, DANIEL CROWLEY	MANAGER/CCO/TP	1135589

Disclosures

Regulatory Event

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.

Similar Advisors

Allison Moran

ONEAMERICA SECURITIES, INC.

Lincolnshire, IL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph T. Pultz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Thomas Pultz's CRS (Customer Relationship Summary).

Certified licenses

Experience

GENEVA STOCK, L.L.C.

GENEVA TRADING LLC

State Registrations and Notice Filings

Exams

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Cboe Exchange, Inc.

FINRA

Current Firm

GENEVA STOCK, L.L.C.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GENEVA STOCK, L.L.C.

TRUST BUT VERIFY

Similar Advisors