Joseph C. Dwyer
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 Callaghan Dwyer, who also goes by Joseph C Dwyer, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1999. Joseph had worked at 6 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2013 - November 12, 2015
BARDOWN CAPITAL LLC
July 9, 2013 - November 12, 2015
BAYES CAPITAL LLC
September 3, 2003 - March 28, 2008
MCMAHAN SECURITIES CO. L.P.
August 6, 2003 - August 26, 2003
DBS VICKERS SECURITIES (USA) INC.
December 14, 2000 - August 2, 2001
NASDAQ CAPITAL MARKETS ADVISORY LLC
April 8, 1999 - August 22, 2001
INET ATS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BARDOWN CAPITAL LLC
CRD#: 158970 / SEC#: , 8-68953
Contact information
Documents
Direct owners and executive officers
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.
