Joseph S. Sanborn
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 Sullivan Sanborn, who also goes by Joe Sanborn, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1996. Joseph had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2014 - October 22, 2019
JEGI LLC
April 29, 2008 - June 30, 2014
RUTBERG & COMPANY, LLC
January 28, 2005 - October 10, 2007
SVB ALLIANT
September 9, 2002 - September 16, 2003
JEFFERIES LLC
February 17, 1998 - August 12, 2002
ROBERTSON STEPHENS, INC.
April 23, 1996 - February 10, 1998
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
Current Firm
JEGI LLC
CRD#: 134887 / SEC#: , 8-66867
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JORDAN, EDMISTON GROUP INC. | PARENT COMPANY | |
| GEORGE, KENNETH RONALD | FIN OP | 2643369 |
| HITZIG, WILLIAM MAXWELL | CCO/COO |
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.
