Jose O. Vianna
Professional summary
Jose O Vianna JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jose is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Jose had worked at 5 firms, which includes NATIONAL SECURITIES CORPORATION, MAXIM GROUP LLC, HAPOALIM SECURITIES USA INC., TRADE.COM ONLINE SECURITIES INC., NICHOLS SAFINA LERNER & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2008 - March 23, 2010
NATIONAL SECURITIES CORPORATION
October 23, 2002 - April 15, 2008
MAXIM GROUP LLC
April 12, 2001 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
June 19, 1997 - March 28, 2001
TRADE.COM ONLINE SECURITIES, INC.
November 29, 1995 - July 18, 1997
NICHOLS, SAFINA, LERNER & CO. INC.
State Registrations and Notice Filings
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Exams
Series 55
Date: 5/4/2009
Limited Representative-Equity Trader ExamCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
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