Joseph C. Stamler
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 Charles Stamler JR, who also goes by Joseph Stamler, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2013 - October 7, 2015
B. RILEY & CO., LLC
January 17, 2013 - July 18, 2013
COHEN & COMPANY SECURITIES, LLC
April 29, 2010 - November 21, 2012
CASIMIR CAPITAL L.P.
August 20, 2007 - April 30, 2010
GFI SECURITIES LLC
November 9, 2000 - August 20, 2007
MILLER TABAK + CO., LLC
October 1, 2000 - November 13, 2000
HUNTER SPECIALISTS, LLC
September 30, 1997 - October 12, 1999
KALB, VOORHIS & CO., LLC
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
Series 55
Date: 1/20/1999
Limited Representative-Equity Trader ExamCurrent Firm
B. RILEY & CO., LLC
CRD#: 40355 / SEC#: , 8-49016
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
Red Flags
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