Joseph S. Thomas
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 Stock Thomas, who also goes by Joe Thomas, Joseph S Thomas, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2015 - August 21, 2017
CUNA BROKERAGE SERVICES, INC.
July 27, 2015 - August 21, 2017
CUNA BROKERAGE SERVICES, INC.
July 1, 2010 - November 14, 2014
BMO HARRIS FINANCIAL ADVISORS, INC.
July 1, 2010 - November 14, 2014
BMO HARRIS FINANCIAL ADVISORS, INC.
March 11, 2010 - September 30, 2010
AMCORE INVESTMENT SERVICES, INC
March 11, 2010 - September 30, 2010
AMCORE INVESTMENT SERVICES, INC
July 6, 2005 - January 28, 2009
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - January 28, 2009
CHASE INVESTMENT SERVICES CORP.
November 18, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
April 26, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
July 11, 1997 - November 17, 2003
DWS DISTRIBUTORS, INC.
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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
