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JK

Joseph L. Karcagi

Some features on this profile are disabled
CRD#: 264316
JK

Professional summary

Joseph Lee Karcagi was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Joseph is a previously registered financial advisor and started their career in finance in 1970. Prior to being barred, Joseph had worked at 12 firms, which includes SUMMIT FINANCIAL GROUP INC, SUMMIT BROKERAGE SERVICES INC., E-INVEST INC., CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., ADVEST INC., RAYMOND JAMES & ASSOCIATES INC., PRESCOTT BALL & TURBEN INC., PRESCOTT BALL & TURBEN, EDWARD JONES, THE FIRST COLUMBUS CORPORATION, J. E. HINTON & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 6, 2002 - December 11, 2003

SUMMIT FINANCIAL GROUP INC

RIA
CRD#: 109485
BONITA SPRINGS, FL
Past

June 4, 2001 - December 11, 2003

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
BOCA RATON, FL
Past

April 18, 1997 - March 23, 2001

E-INVEST, INC.

BD
CRD#: 18298
SAN FRANCISCO, CA
Past

July 31, 1993 - April 4, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

December 10, 1990 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

July 22, 1985 - November 24, 1990

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

September 25, 1980 - July 15, 1985

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
Past

August 14, 1978 - October 4, 1980

PRESCOTT, BALL & TURBEN, INC.

BD
CRD#: 7656
Past

September 13, 1976 - August 14, 1978

PRESCOTT, BALL & TURBEN

BD
CRD#: 7101
Past

December 27, 1973 - August 26, 1976

EDWARD JONES

BD
CRD#: 250
Past

January 21, 1972 - January 20, 1974

THE FIRST COLUMBUS CORPORATION

BD
CRD#: 817
Past

January 26, 1970 - September 21, 1971

J. E. HINTON & CO., INC.

BD
CRD#: 4390

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

State Security Law Exam
IAR
Series 65
Date: 1/25/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/3/1979
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
PC
Date: 8/27/1980
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 1/17/1970
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/27/1980
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 9/9/1978
Registered Principal Examination

Current Firm

SF
SUMMIT FINANCIAL GROUP INC
SUMMIT FINANCIAL GROUP INC

CRD#: 109485 / SEC#: 801-56645

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Contact information

Main Address
595 S. Federal Highway Suite 500, Boca Raton, FL 33432-5541
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

SUMMIT FINANCIAL GROUP WRAP FEE PROGRAM BROCHURE (3/30/2021)
SUMMIT FINANCIAL GROUP FIRM BROCHURE (3/30/2021)

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.

Company Information

SUMMIT FINANCIAL GROUP INC

CRD#: 109485

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